Appointment Blogs | Compliance Week – Page 73
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Banks appeal to Treasury to intervene on CECL
Banks are asking Treasury to intervene on CECL and delay it, worried implementation will threaten financial stability in a future recession.
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Celsius Network names chief compliance officer
Celsius Network, a blockchain-based Fintech startup, has named Ann LaCarrubba as general counsel and chief compliance officer.
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Artivest appoints chief compliance officer
Artivest, a provider of premier alternative funds and technology solutions, has named Kamal Jafarnia as general counsel and chief compliance officer.
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BDO survey: Boards strive to keep pace with digital transformation
Digital transformation initiatives are making their way to the top of boardroom agendas, according to findings from a new cyber-governance survey.
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Ex-KPMG leader pleads guilty in inspection leak case
A former KPMG leader has pled guilty to four counts of fraud and conspiracy in connection with an operation to subvert the regulatory inspection process.
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Mashreq responds to NYDFS consent order
Mashreqbank has issued a statement in response to its consent order reached with the New York State Department of Financial Services on Oct 18 for violations of U.S. Bank Secrecy Act and Anti-Money Laundering laws in the New York branch’s U.S. dollar clearing operations.
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BlogAnti-Slavery Day: complying with human rights law
In honor of Anti-Slavery Day (October 18), companies may want to familiarize themselves with a recent guide from the IEMA on complying with environmental and human rights laws.
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BlogOFAC takes action against ‘vast network’ of ‘Specially Designated Global Terrorists’
The U.S. Department of Treasury’s Office of Foreign Assets Control on Oct. 16 took action against a vast network of Iranian entities for providing financial support to the Basij Resistance Force, a paramilitary force that recruits, trains, and deploys child soldiers.
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OFAC sanctions Iraq-based money services business
The U.S. Department of the Treasury’s Office of Foreign Assets Control imposed sanctions on Afaq Dubai, an Iraq-based money services business that has been moving money for the Islamic State of Iraq and Syria (ISIS).
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SEC warns companies to control phishing losses
The SEC has put companies on notice that their internal controls need to consider the risk of cyber-attack, especially e-mail “phishing” scams.
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SEC, PCAOB discipline ex-auditors at BDO, Deloitte
Two new enforcement actions give audit committees some textbook reminders to keep tabs on auditors regarding their compliance with professional standards.
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Bank of England urges firms to prepare for climate change risks
The Bank of England (BoE) wants boards of financial services firms to take a stronger role in identifying and managing financial risks caused by climate change by making individual executives accountable and improving disclosure.
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Criminal Division does an about-face on hiring a compliance counsel
The Department of Justice has scrapped its decision to hire another compliance counsel and instead announced a new, agency-wide approach to compliance oversight.
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A look at the new corporate monitorship policy
The Department of Justice on Oct. 11 issued revised guidance to establish standards, policies, and procedures for the selection of monitors in matters being handled by Criminal Division attorneys. The new guidance further refines the factors that go into the determination of whether a monitor is needed and clarifies and ...
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Generex appoints chief compliance officer
Title: Generex appoints a CCOGenerex Biotechnology, a biopharmaceutical company, has named Anthony Crisci as general manager, chief compliance officer, and corporate counsel for all of NuGenerex’s distribution efforts.
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TRACE improves anti-bribery compliance accreditation program
Anti-bribery compliance organization, TRACE, has introduced improvements, such as new course content, to its training and accreditation program that offers a professional credential for anti-bribery compliance specialists.
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Lockpath introduces two new editions of the Keylight Platform
Lockpath, a provider of integrated risk management solutions, announced the availability of two new product offerings to help companies of any size address risk.
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IdentityMind Global, CipherTrace partnership provides virtual currency risk assessment
IdentityMind Global recently announced that IdentityMind’s compliance, risk management, and fraud prevention platform has integrated CipherTrace’s digital currency risk assessment technology. This integrated solution allows virtual currency exchanges, ICOs, hedge funds, financial institutions, and any company that accepts cryptocurrency to understand the risk they present.
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SNC-Lavalin: Canadian authorities reject plea deal
Engineering and construction company SNC-Lavalin has been advised by the Director of the Public Prosecution Service of Canada (DPPSC) that, at this time, it will not “invite” the company to negotiate a deferred prosecution agreement.
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German DPAs begin random GDPR examinations
The Data Protection Authority of the German state of Lower Saxony recently began random examinations into how well companies are implementing the EU’s General Data Protection Regulations. Compliance officers of U.S. companies with operations in Germany should be on alert.