Explore how poorly crafted incentives and lack of oversight can lead to internal fraud. This course will break down how to evaluate your organization’s anti-fraud program and controls for effectiveness and continuous improvement.
Compliance Week National brings together compliance, ethics, legal, and audit professionals to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs.
Compliance Week is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors.
Card issuing platform Marqeta announced the appointment of Crystal Sumner as chief legal officer.
She will be responsible for overseeing Marqeta’s global legal and regulatory affairs, including compliance.
Previously, Sumner served as head of legal, compliance and risk at cloud-based banking platform Blend. Prior to Blend, Sumner was also an enforcement attorney at the Consumer Financial Protection Bureau and product and regulatory counsel at Eventbrite, according to her LinkedIn profile.
Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact Editor in Chief Kyle Brasseur.
Spicer Jeffries and one of its audit engagement partners were spared financial penalties in settling with the Securities and Exchange Commission over allegations of improper professional conduct during the audits of two private funds.
The Failed Bank Executives Clawback Act seeks to require the Federal Deposit Insurance Corporation to claw back five years’ worth of compensation from executives who lead failed banks.
Investment advisers newly registering with the SEC have been observed not devoting sufficient resources to their chief compliance officers, sometimes ladling additional responsibilities on the role that take away from time to focus on compliance.
No comments yet