Articles | Compliance Week – Page 74
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ArticleCOVID-19 vaccine mandates no less tricky after FDA approval
Determining the best way to get your employees vaccinated against COVID-19 means considering a handful of key issues, in addition to being prepared for difficult conversations.
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Santander Holdings USA names chief risk officer
Global bank Santander Holdings USA announced the appointment of Ashwani Aggarwal as chief risk officer.
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Tradeweb Markets recruits global compliance head from Bloomberg
Electronic marketplace operator Tradeweb Markets announced the appointment of Devi Shanmugham as global head of compliance.
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Jackson Financial adds general counsel for split from Prudential
Investment holding company Jackson Financial announced the addition of Carrie Chelko as executive vice president. Chelko is expected to assume the role of general counsel and secretary following Jackson’s planned separation from Prudential on Sept. 13.
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Connect Biopharma hires chief compliance officer
Clinical-stage biopharmaceutical company Connect Biopharma Holdings Limited named Jiang Bian general counsel and chief compliance officer.
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ArticleEY fined $3M in U.K. for Stagecoach audit failings
The U.K. Financial Reporting Council ordered EY to pay a reduced fine of £2.2 million (U.S. $3 million) related to its audits of international transport company Stagecoach Group for the 2017 financial year.
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ArticlePandemic not slowing rising AML fine totals, report says
Kroll’s latest annual enforcement review identified $2.2 billion in AML fines in 2020 compared to $444 million in 2019. The first six months of 2021 indicate a similar pace to last year.
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ArticleWhat went wrong at Greensill Capital? Former risk chief shares his view
Brett Downes, the chief risk officer at Greensill Capital for five years before the company filed for insolvency, explains what factors he believes led to the supply chain finance startup’s abrupt collapse.
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ArticleSEC fines Healthcare Services Group $6M over contingency reporting lapses
Healthcare Services Group agreed to pay $6 million as part of a settlement with the Securities and Exchange Commission for contingency reporting failures that led to accounting and disclosure violations.
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ArticleICO’s first GDPR fine reduced on appeal
The U.K. Information Commissioner’s Office’s fine against pharmacy Doorstep Dispensaree for violations of the General Data Protection Regulation has been slashed approximately two-thirds on appeal to £92,000 (U.S. $126,000).
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ArticleChallenge to SEC’s Bank Secrecy Act authority backed by ex-FinCEN leadership
A brokerage firm petitioning the Supreme Court to review the power of the SEC to enforce the Bank Secrecy Act has received support from two former officials of the primary agency tasked with overseeing the AML law.
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ArticleTwo PCAOB members resign ahead of SEC overhaul
Rebekah Goshorn Jurata and Megan Zietsman have announced they will resign, meaning the PCAOB could soon be left with one active member ahead of SEC plans to clean house at the audit regulator.
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ArticleBSI guidance offers whistleblower management best practices
The British Standards Institution has created international guidance to help companies set up an effective whistleblowing management system.
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Article‘Intentional Integrity’ urges conviction in tackling ethical dilemmas
In his book, Rob Chesnut, former chief ethics officer at Airbnb, teaches business leaders how to weave ethics into the fabric of a company’s culture and ensure a little pulling on the integrity thread will not cause the firm to unravel.
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ArticleOne-on-one with Richard Jones: What lies ahead at FASB
A year into the job, FASB Chair Richard Jones catches up with Compliance Week regarding recent improvements to major accounting standards, ongoing projects, future topics of interest, and more.
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ArticleSix ways to mitigate a bad day at the office
Bad days differ for everyone, but there are steps we can take to make them less likely or easier to handle. These six tips might help the compliance professional and their business as a whole when the going gets tough.
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ArticleCFTC due for shakeup with Brian Quintenz set to depart
The Commodity Futures Trading Commission will soon be down to three active commissioners, as Brian Quintenz announced he will depart the regulator at the end of the month.
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ArticleT-Mobile ups compromised customer account total to 55M
A “highly sophisticated” cyber-attack illegally accessed nearly 55 million customer records of mobile phone carrier T-Mobile, the largest such attack against the company that has been hit at least four previous times since 2018.
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Pacific Oak appoints chief compliance officer
Real estate-based investment company Pacific Oak announced the appointment of Matthew Mai as chief compliance officer.
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MUFG Americas names chief risk officer
Financial group MUFG Americas Holdings Corp. and its subsidiary MUFG Union Bank appointed Brian Gunn as chief risk officer.