Compliance Week
News BriefFormer SEC Chair William Donaldson dead at 93
William Donaldson, a former chairman of the Securities and Exchange Commission, died Tuesday. He was 93.
EventPhoto gallery: Compliance Week Financial Crimes and Regulatory Compliance Summit
The Compliance Week Financial Crimes and Regulatory Compliance Summit took place June 10-11 at Fordham Law School in Manhattan, New York. Check out some of the sights from the summit in our photo gallery.
EventPhoto gallery: Women in Compliance, TPRM & Oversight Summits
Compliance practitioners gathered at the Signia by Hilton in downtown Atlanta for Compliance Week’s Women in Compliance and Third-Party Risk Management & Oversight Summits from June 3-4.
EventVirtual Roundtable: Whistleblowing in 2024: What compliance officers need to know
Compliance Week is hosting a virtual roundtable in which we’ll explore the modern whistleblower landscape and what corporate compliance programs need to know to follow the rules while enabling a speak-up culture.
EventPhoto gallery: Compliance Week National 2024
More than 450 attendees are gathering at the Westin in downtown Washington, D.C. for Compliance Week’s 19th annual National Conference from April 2-4. Check out some of the sights from the event in our photo gallery.
PremiumTable: SEC, CFTC off-channel communications penalties
The Securities and Exchange Commission and Commodity Futures Trading Commission have combined to levy about $3.2 billion in penalties (so far) against firms and their affiliates in response to recordkeeping failures regarding employee use of off-channel communications for business purposes.
VideoManeuvering the regulatory landscape
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Amy Mertz Brown, a former chief compliance officer and independent consultant/attorney; Ellen Hunt, principal consultant and advisor at Spark Compliance Consulting; and Linda Tuck Chapman, CEO of the Third-Party Risk Institute. The event ...
VideoForming risk-based approaches to due diligence
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Josh Bryant, senior data privacy analyst at J.B. Hunt; Ramsey Kazem, regional compliance officer at Andritz; and Rob Seibel, former associate vice president, global ethics and compliance at Bath & Body Works. The ...
VideoThe ABCs of an effective program
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Steve Naughton, director of regulatory compliance studies at Loyola University Chicago Law School, and Michael Volkov, CEO of the Volkov Law Group. The event was held Nov. 6-7, 2023.
VideoCybersecurity essentials in third-party relationships
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Melissa Thomas, senior manager of information security at Intuit; David Kessler, vice president and associate general counsel at BAE Systems; and James Goepel, general counsel and director of education and content at FutureFeed. ...
VideoBest practices for third-party compliance audits
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Virgene Foreman, director VMO of internal controls at Lincoln Financial; Lila Acharya, partner at Crawford & Acharya; and Renica Hamilton, assistant vice president at Lincoln Financial. The event was held Nov. 6-7, 2023.
VideoExcelling at vendor management
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Paul Kurtz, director of third-party risk management at MerchantE; Michael Rickman, president at Bear Lake; and Adrene Maria Odom, vice president, risk and vendor management at Lafayette Federal Credit Union. The event was ...
VideoStrategies for integrating ESG in compliance directives
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between William Nelson, associate general counsel at the Investment Adviser Association, and Becky Haney, program manager for ESG data and reporting at Steelcase. The event was held Nov. 6-7, 2023.
VideoWhat you need to know about protecting your data
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a presentation by Gregory Rasner, senior vice president, cybersecurity third-party risk at Truist. The event was held Nov. 6-7, 2023.
VideoA holistic journey through integration
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Ja’Vaughn Jones, vendor risk management director at Kaiser Permanente; Tiffany Bray, vice president, senior third-party risk manager at Seacoast Bank; and Chris Phillips, vice president, procurement and vendor risk at Lendmark Financial Services. ...
VideoNavigating sanctions compliance in third-party partnerships
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Jessica Sanderson, founding member at Sanderson Law Firm, and Rodney Campbell, senior vice president, head of third-party risk management at Valley National Bank. The event was held Nov. 6-7, 2023.
VideoNavigating the regulatory landscape on U.S. ESG reporting
This session from Compliance Week’s 2023 virtual ESG Summit features a discussion between William Nelson, associate general counsel at the Investment Adviser Association, and Steven Rothstein, managing director at Ceres. The event was held Sept. 19-20, 2023.
VideoThe ABCs of materiality assessments in ESG
This session from Compliance Week’s 2023 virtual ESG Summit features a discussion between Hilary Wandall, chief ethics and compliance officer at Dun & Bradstreet, and Gwen Miller-Dannelongue, ESG and impact reporting manager at Planet Labs. The event was held Sept. 19-20, 2023.
VideoEnhancing ESG reporting through effective assurance
This session from Compliance Week’s 2023 virtual ESG Summit features a discussion between Charles Waring, partner, audit and assurance at EisnerAmper, and Melanie Sponholz, chief compliance officer at WCP Healthcare. The event was held Sept. 19-20, 2023.
VideoInternational standardization of regulatory measures
This session from Compliance Week’s 2023 virtual ESG Summit features a discussion between Neil Stewart, director of corporate outreach at the International Financial Reporting Standards Foundation, and Reem Tanta, lead advisor, ESG strategy and reporting at WSP. The event was held Sept. 19-20, 2023.