All articles by Dave Lefort – Page 2
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ArticleQ&A with Kara Brockmeyer: How pandemic has impacted third-party risk
In advance of her keynote at Compliance Week’s upcoming TPRM virtual event (Sept. 17-18), former SEC official Kara Brockmeyer discussed with CW the heightened risk third parties have during a pandemic and what companies can do about it.
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ArticleQ&A: New training takes compliance leaders on ‘non-technical’ cyber-journey
A new training offered by renown expert Paul C. Dwyer helps non-technical practitioners gain confidence in dealing with all aspects of cyber-security or cyber-risk.
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Article
FTC, DOJ issue modernized guidance on vertical mergers
The FTC and DOJ jointly issued long-awaited vertical merger guidelines that will replace decades-old parameters to more accurately represent the agencies’ merger review process.
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ArticleMarket forces, not regs, leading the charge for data privacy
Data privacy is about to become a more tangible concept to Americans not due to regulation like the CCPA, but because the most influential brand in the nation is making it a pillar of how it does business.
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ArticleDon’t let Trump’s actions lower the bar for checks and balances
The fact that President Trump is so unabashedly bold about holding his finger on the scales of justice should remind CCOs that ethics and rules can’t be bent for political (or business) gain.
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ArticleWhy a principles-based regulatory approach works for CFTC
CFTC Chairman Heath Tarbert seeks to let the evolving commodities market breathe with a “principles-based” regulatory approach.
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ArticleLaw enforcement reform should take a cue from compliance
Just as companies must answer to their stakeholders, our public leaders and institutions need to be held more accountable to their constituents.
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ArticleCW2020 wrap-up: Tips for CCOs on leading in a crisis
The themes of honesty and integrity defined the leadership best practices shared by more than 40 speakers across 15 sessions at Compliance Week’s first-ever Virtual Conference.
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EventCoronavirus has made CW2020 a (virtual) gathering like no other
The coronavirus pandemic has made getting together for our annual National Conference impossible, but it’s also made this virtual gathering (Monday and Tuesday) perhaps the most important one we’ve ever had.
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EventAmb. Power, Carnival CECO Anderson to headline CW Virtual Conference
Conversations with former U.S. ambassador to the United Nations Samantha Power and Carnival Corporation Chief Ethics and Compliance Officer Peter Anderson will headline Compliance Week’s first-ever Virtual Conference from May 18-19.
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EventVEON’s Joshua Drew wins Compliance Comeback of the Year award
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.
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EventCarrie 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.
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EventIntroducing finalists for Compliance Week’s ‘CCO of the Year’
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.
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EventFirst 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.
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EventUpdate 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.
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ArticleEthical 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.
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ArticleSEC 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.
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ArticleCompliance training 101: Know your audience
Need to get something off my chest before I pass along lessons learned from poorly executed compliance training.
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ArticleSurvey: 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.
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ArticleFirst 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.
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