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Steven Peikin

SEC Enforcement Co-Director Steven Peikin to step down

2020-08-05T18:31:00+01:00By

The co-director of the Securities and Exchange Commission’s Division of Enforcement will step down from his post next week, after three years on the job.

British pounds

SFO confiscates $7M from ex-Afren execs in fraud case

2020-08-05T17:41:00+01:00By

The U.K. Serious Fraud Office announced it has secured orders confiscating £5.45 million (U.S. $7 million) from two former executives of oil and gas exploration company Afren.

Canada

Canadian market regulator floats flexible firm CCO models

2020-08-05T16:00:00+01:00By

The Canadian Securities Administrators has published guidance that effectively gives registered firms in Canada more flexibility in satisfying chief compliance officer staffing requirements through three optional models.

coronavirus office

Don’t wait for Congress to save your firm from coronavirus liability

2020-08-05T13:59:00+01:00By

If you are an employer hoping Congress will pass a “coronavirus liability shield” bill to help your company deflect COVID-19 lawsuits, consider this: No such “shield” will do much good unless you’ve already taken action to create a safe workplace.

Shipping boat

U.K. issues maritime guidance for reducing sanctions risk

2020-08-04T16:23:00+01:00By

The United Kingdom has become just the second country to issue guidance for companies in the maritime shipping industry alerting them about common illicit and suspicious practices used to evade sanctions.

Twitter

Twitter could face up to $250M FTC fine for misuse of data

2020-08-04T15:34:00+01:00By

Twitter disclosed in a regulatory filing that it could face fines of up to $250 million by the Federal Trade Commission for misusing people’s personal information for advertising purposes.

KYC

Firms must apply contact tracing rules to bank relationships

2020-08-04T15:28:00+01:00By

In order to prevent debacles like the one Deutsche Bank is embroiled in, there is a need to combine the processes of “know your employee” and “know your customer,” writes Martin Woods.

Europedata

Five tips for EU-U.S. data transfers post-Privacy Shield

2020-08-04T15:21:00+01:00By

As the fallout from the demise of the Privacy Shield continues to play out, here are a handful of steps companies can take to protect themselves from potential GDPR violations when transferring data between the European Union and the United States.