Compliance Week is proud to announce Joshua Drew as the winner of its inaugural Compliance Comeback of the Year award after he successfully navigated VEON through to the recent conclusion of its three-year compliance monitorship and deferred prosecution agreement.
Dave Lefort
Posted inEthics & Culture
Carrie Penman named Lifetime Achievement in Compliance winner
Compliance Week is proud to announce Carrie Penman as the winner of its inaugural Lifetime Achievement in Compliance award, the top honor in the first annual Excellence in Compliance Awards program.
Posted inRisk Management
Finalists for ‘CCO of the Year,’ ‘Innovator of the Year,’ and more
Day 2 of Compliance Week’s rollout of the Excellence in Compliance Awards finalists features the short lists for 4 categories, including the prestigious Chief Compliance Officer of the Year.
Posted inData Privacy
First round of finalists named for Excellence in Compliance Awards
Compliance Week has pared down its list of more than 300 nominees for its first annual Excellence in Compliance Awards and is pleased to announce the finalists for nine of the 15 categories.
Posted inFrom the Archive
Update on Compliance Week National Conference
Due to the ongoing coronavirus pandemic, CW has decided to reimagine its National Conference: We will host our first-ever virtual conference online from May 18-19, with at least a dozen interactive sessions. In addition, we are working on plans to hold a smaller, more exclusive event in the fall.
Posted inEthics & Culture
Ethical leadership more important than ever during coronavirus crisis
Not a single one of us can predict with any kind of certainty what will come next. And that’s exactly why we need strong ethical voices now more than ever.
Posted inRegulatory Enforcement
SEC rips Wells Fargo’s ETF compliance efforts in $35M settlement
Already reeling from last week’s $3 billion penalty related to its fake accounts scandal, Wells Fargo took another hit Thursday in the form of a $35 million SEC settlement related to poor supervision of investment recommendation practices.
Posted inInternal Controls
Compliance training 101: Know your audience
Need to get something off my chest before I pass along lessons learned from poorly executed compliance training.
Posted inSurveys & Benchmarking
Survey: Lack of adequate funding for compliance training pervasive
If you’re among the practitioners who need more resources to turn your compliance training program into one that is truly effective (and that’s many of you, according to our survey), we have some advice.
Posted inEthics & Culture
First four ‘Excellence in Compliance Awards’ finalists revealed
Compliance Week is proud to announce its first four finalists for the “Excellence in Compliance Awards,” a newly formed program that recognizes individual achievement in one of 13 categories relating to risk and compliance.