All Technology articles
-
SurveyAnnual survey: Help us get ‘Inside the Mind of the CCO’
Compliance Week’s fifth annual “Inside the Mind” survey seeks to discover what makes CCOs and other risk and compliance practitioners tick. Take 10 minutes to share your experiences and be part of our special report.
-
News BriefCitadel Securities fined $7M for mismarked short, long sales
Miami-based broker-dealer Citadel Securities was fined $7 million as part of a settlement with the Securities and Exchange Commission addressing mismarked short and long sales caused by a coding error in the firm’s automated trading system.
-
News BriefCFPB warns lenders on use of AI in credit denial process
The Consumer Financial Protection Bureau warned lenders using artificial intelligence in credit denials that consumers must receive accurate and specific reasoning—and not checklists—for why a credit request was denied.
-
PremiumSurvey: Tech gaps, third parties pose biggest ABAC threats
A recent survey conducted by Compliance Week and Morgan Lewis determined areas of insufficient resource support to combat bribery and corruption, along with trends in third-party due diligence.
-
ResourceSurvey Report: Tech gaps, third parties pose biggest ABAC threats
Compliance professionals asked to assess their anti-bribery and corruption efforts indicated resource support deficiencies in areas including staffing and technology, according to a survey conducted by Compliance Week and Morgan Lewis.
-
WebcastWebcast: How to build a responsible, compliant, and ethical AI program
Artificial intelligence is rapidly transforming the way businesses operate. As AI becomes more pervasive, it is essential for organizations to have a strong AI governance program in place to mitigate risks while capitalizing on value.
-
PremiumCPPA eyeing broad scope in early discussions around data risk assessments
Draft risk assessment regulations under the California Consumer Privacy Act are designed to prohibit businesses from handling consumer data if uncontrolled risks—to the security and privacy of the consumer, the public, or the business—outweigh the benefits.
-
PremiumBig Tech wants AI ‘referee,’ but lawmakers differ on approach to regs
Federal lawmakers shined a spotlight on artificial intelligence this week, raising the possibility that Congress will—eventually—legislate some controls on the burgeoning technology should middle ground be found.
-
News BriefHHS orders L.A. Care to pay $1.3M over apparent HIPAA violations
L.A. Care Health Plan agreed to pay $1.3 million to settle allegations by the U.S. Department of Health and Human Services it potentially violated the Health Information Portability and Accountability Act.
-
PremiumQ&A: Zeta CCO on leading innovation with compliance
Karla Booe, chief compliance officer for Zeta Services, discusses with Compliance Week how the card processor bakes compliance into its decision-making process for new technologies and product offerings.
-
News BriefCFTC fines Goldman Sachs $5.5M over new recordkeeping failures
Goldman Sachs was fined $5.5 million by the Commodity Futures Trading Commission as part of a settlement addressing alleged audio recordkeeping violations that followed a previous consent order the bank reached with the agency.
-
PremiumPreparing for SEC cybersecurity rules an opportunity for collaboration
Businesses can prepare for the Securities and Exchange Commission’s upcoming cybersecurity disclosure rule by going through it and identifying key gaps in compliance.
-
WebcastCPE Webcast: Harnessing the power of generative AI in financial services
This webinar aims to provide a comprehensive overview of how the financial industry can harness the potential of generative artificial intelligence while navigating the implications it presents for digital communications and compliance.
-
PremiumCyber expert: Reach for data security to achieve compliance
Data security and compliance are not one and the same but have enough overlap that organizations can take steps when building a data security program to move closer to achieving compliance.
-
PremiumDutch banks’ innovative AML collaboration ready to take next step
ABN AMRO, ING, Rabobank, Triodos Bank, and de Volksbank are each participating in a first-of-its-kind collaboration to shine light on the estimated €16 billion worth of illicit funds coursing through the Netherlands’ banking system every year.
-
PremiumWhy MobilityWorks shifted from manual to automatic for dealer compliance
Erik Ingersoll, director of risk and compliance at MobilityWorks, shares the advantages the wheelchair accessibility vehicle provider has gained from switching to an automated compliance system to track its licenses.
-
PremiumCompanies get say on Biden executive order restricting China tech investments
President Joe Biden’s recent executive order to restrict certain outbound investments to China offers an opportunity for companies to help shape the program by offering input through comment.
-
News BriefGoldman Sachs fined $425K by FINRA for large option reporting lapses
Goldman Sachs agreed to pay $425,000 as part of a settlement with the Financial Industry Regulatory Authority addressing allegations of reporting and supervision violations regarding more than 1 million over-the-counter options positions.
-
PremiumCFPB’s Chopra teases new rules for data brokers at White House roundtable
The Consumer Financial Protection Bureau is moving forward with plans to propose new rules for data brokers that would regulate their personal data gathering activities under the Fair Credit Reporting Act.
-
WebcastCPE Webcast: Five deliverables every cybersecurity team needs to survive, thrive and comply with the new SEC Cybersecurity Rule
In today’s fast-paced business world, firms must adapt to the ever-changing mobile compliance and technology landscape to stay competitive.