Articles | Compliance Week – Page 31
-
Article
ICA announces MENA financial crime compliance conference
The International Compliance Association, a leading professional body for the compliance community, announced its first MENA 2022 Regulatory and Financial Crime Compliance Conference on at the Fairmont Hotel, Dubai.
-
Article
Volta adds chief accounting officer
Volta, an electric vehicle charging network, announced the appointment of Stephen Pilatzke as chief accounting officer.
-
Article
Cooper Standard appoints chief accounting officer
Cooper Standard, a global supplier of systems and components for the automotive industry, announced the appointment of Amy Kulikowski as vice president, chief accounting officer, effective July 11.
-
ArticleWeiss Asset Management lauded for cooperation in $6.9M settlement
Weiss Asset Management reached a $6.9 million settlement with the Securities and Exchange Commission after it self-reported alleged short selling violations.
-
ArticleSurvey: Cyber threats, remote work, financial pressures key ABC concerns for 2022
Compliance programs globally expect to shoulder more responsibilities in 2022, according to Kroll’s latest Anti-Bribery and Corruption Benchmarking Report.
-
Article
Netflix names principal accounting officer
Streaming giant Netflix disclosed the appointment of Ken Barker as principal accounting officer, effective June 27.
-
Article
BitPay hires new chief compliance officer
Cryptocurrency platform BitPay has hired Allison Raley as chief compliance officer and general counsel.
-
Article
OneSpan adds chief compliance officer
Cybersecurity software provider OneSpan announced the addition of Lara Mataac as general counsel and chief compliance officer.
-
ArticleGoogle fine in Spain prompts revisit of GDPR effect on tech
Google’s latest fine for violations of the General Data Protection Regulation reignites the discussion around why Big Tech firms have not been more frequently penalized under the EU’s stringent privacy law.
-
ArticleSEC to Schwab: Return $187M for robo-adviser misstatements
Three Charles Schwab subsidiaries have agreed to pay $187 million to settle SEC charges the units were allocating investors’ cash holdings in a way that was less profitable under most market conditions and misled investors about the strategies involved.
-
ArticleAddressing fraud via social media
Fraud and social media have a special relationship, with the two frequently combining to cause harm, distress, and loss to an enormous number of people.
-
ArticleSEC charges investment adviser, CCO with selling fraudulent securities
A.G. Morgan Financial Advisors, its owner, and its former chief compliance officer were charged by the SEC with securities laws violations for unlawfully offering and selling more than $500,000 worth of unregistered, fraudulent securities.
-
ArticlePrimer: Third-Party Risk Management & Oversight Summit
Editor In Chief Kyle Brasseur previews Compliance Week’s Third-Party Risk Management Summit, a two-day conference solely dedicated to the sharing of knowledge and experience within TPRM.
-
ArticleSEC probing Ericsson over Iraq corruption scandal
The Securities and Exchange Commission opened an investigation into Ericsson following the Swedish telecommunications company’s acknowledgement of evidence of “corruption-related misconduct” that occurred in its Iraq operations.
-
ArticleSurvey: Competitive jobs market pushes in-house counsel salaries higher
In-house counsel salaries across every industry bounced back in 2021 from the doldrums of the pandemic, with a competitive jobs market forcing recruiters to offer more bonuses, according to the latest compensation survey by BarkerGilmore.
-
ArticleCohnReznick fined $1.9M for audit failures at Sequential Brands, Longfin
Audit firm CohnReznick agreed to pay $1.9 million as part of a settlement with the Securities and Exchange Commission for improper conduct at two of its clients the SEC previously charged with filing fraudulent financial statements.
-
ArticleSEC acting chief accountant: Ethical culture key to auditor independence
Paul Munter, acting chief accountant at the Securities and Exchange Commission, released a statement acknowledging recurring issues agency staff have observed regarding auditor independence consultations.
-
ArticleCalifornia privacy board moves forward with draft CPRA regulations
The California Privacy Protection Agency unveiled draft rules for the soon-to-be enacted California Privacy Rights Act at its board meeting.
-
ArticleLummis-Gillibrand bill would regulate crypto for first time
The Responsible Financial Innovation Act, introduced by Sens. Cynthia Lummis (R-Wyo.) and Kirsten Gillibrand (D-N.Y.), seeks to regulate digital assets, blockchain technology, and cryptocurrencies in the United States for the first time.
-
Article
Ropes & Gray adds Hui Chen as senior adviser for Insights Lab
Global law firm Ropes & Gray announced the appointment of compliance and ethics expert Hui Chen as a senior adviser for its Insights Lab, the legal industry’s first analytics and behavioral science consulting group.