Video


2021 Excellence in Compliance Winners

EIC2021 CCO of the Year: Justin Ross

2021-05-11T16:00:00+01:00

Justin Ross shares how FedEx handled PPE and vaccine distribution globally and more COVID-19 challenges upon being named CCO of the Year at CW’s 2021 Excellence in Compliance Awards.

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TerroristMoney

Combating terrorist financing: Coordination and the ‘human element’

2021-05-12T21:34:00+01:00By Nitin Sane, International Compliance Association

Fundamental differences in ideology and motivation differentiate a terrorist from organized criminal groups. However, a debate rages over the connection between transnational organized crime and terrorist financing.

Mary McNiff CW2021

Citi CCO Mary McNiff taking to compliance one year in

2021-05-12T18:09:00+01:00By

Mary McNiff shared initiatives she’s undertaken in her first year as chief compliance officer at Citi during her keynote at CW’s 2021 National Conference on Wednesday.

Hackers

SEC fines broker-dealer $1.5M for SARs filing failures

2021-05-12T18:01:00+01:00By

WFS Equities will pay $1.5 million as part of a settlement with the SEC for lapses in the filing of suspicious activity reports related to the threat of cyber-breaches.

Privacy in the boardroom

Compliance Week 2021: Day 2 live blog

2021-05-12T11:00:00+01:00By Compliance Week

Check out some of the insights shared and key moments from Day 2 of our 16th annual National Conference.

Comey CW2021 blog

James Comey: Lessons from Enron era will ‘become real again’

2021-05-11T20:17:00+01:00By

Former FBI Director James Comey kicked off Compliance Week’s 16th annual National Conference on Tuesday by speaking candidly about a variety of risk and compliance matters, including the importance of a strong ethical culture in the coming post-pandemic “boom times.”

WhistleblowerReward

SEC awards $22M to two whistleblowers in contentious case

2021-05-11T16:43:00+01:00By

Two whistleblowers sought to undermine each other in vying for the majority of a $22 million award issued by the SEC regarding malfeasance reported at a financial services firm.

Vantage, Consultant

EIC2021 Compliance Consultant of the Year: VANTAGE

2021-05-11T16:00:00+01:00

Zachary Rothstein of Control Risks explains how the company’s TPRM solution VANTAGE helped with clients’ due diligence efforts amid the COVID-19 pandemic upon accepting Compliance Consultant/Advisor of the Year honors at CW’s 2021 Excellence in Compliance Awards.

Ellen Hunt, Mentor

EIC2021 Compliance Mentor of the Year: Ellen Hunt

2021-05-11T16:00:00+01:00

Ellen Hunt, VP of compliance operations at LifePoint Health, explains her approach to advising others and what encouragement she would give to future compliance officers upon being named Compliance Mentor of the Year at CW’s 2021 Excellence in Compliance Awards.