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Survey: Measuring the impact of code of conduct training
Respondents to a survey from Compliance Week and online compliance training provider Traliant largely described their organization’s code of conduct training as effective, but the opportunity for customized, dynamic courses can take learning to the next level.
DOJ calling out compliance with 2022 policy shifts
If it seems the Department of Justice has compliance officers in its crosshairs with its controversial policy changes this year, that’s because it does. Some respondents to our annual “Inside the Mind of the CCO” survey embrace the challenge, while others are still skeptical.
Rabobank probed by Dutch prosecutors over potential AML violations
Rabobank, the second largest bank in the Netherlands, is being investigated by the Dutch Public Prosecution Service for potential violations of the country’s anti-money laundering/countering the financing of terrorism law.
Two Point Capital, CEO dinged $100K for compliance procedure lapses
Two Point Capital Management and its CEO John McGowan were fined a total of $100,000 by the Securities and Exchange Commission for failing to adopt and implement policies and procedures tailored to guide the firm’s compliance with federal securities law.
Challenges for SPACs: Public company, now what?
Special purpose acquisition company transactions have unique risks and require awareness of what it takes to operate as a public business. Internal controls, governance, technology, and more are essential.
Loaded SEC agenda to carry into 2023
The Securities and Exchange Commission is expected to see through its controversial policy proposals from 2022, though the newly Republican-led House could slow the agency’s momentum.
Ex-Weber Shandwick CFO imprisoned 4-plus years for embezzlement
The former chief financial officer and chief operating officer of public relations firm Weber Shandwick was sentenced to more than four years in prison and ordered to pay more than $26 million for a nearly decade-long embezzling scheme.
TPRM Summit: Experts discuss FCPA lessons learned from ABB settlement
A panel on regulatory trends at CW’s virtual TPRM and Oversight Summit discussed lessons for compliance departments seeking to learn how to guard themselves against bad actors within their own firms contained in ABB’s recent $327 million bribery settlement.