All Compliance Week articles in Web Issue
View all stories from this issue.
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News Brief
SEC to review registrants’ preparation for next-day trade settlements
The Securities and Exchange Commission wants broker-dealers and certain clearing agencies to know the expectations for the reduction of the settlement cycle for national and international trades from two business days after the trade date to one day.
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News Brief
Gamma Healthcare, owners to pay $13.6M in DOJ false claims case
Missouri-based Gamma Healthcare and three of its owners agreed to pay approximately $13.6 million to settle charges levied by the Department of Justice of violating the False Claims Act by improperly billing Medicare for tests that were not ordered or medically necessary.
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News Brief
CISA teases cyber incident reporting rule for critical infrastructure
Financial businesses and other critical infrastructure entities would have to report significant cybersecurity and ransomware incidents to the federal government under a new rule that will be proposed by the Cybersecurity and Infrastructure Security Agency.
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News Brief
Trafigura pleads guilty, to pay $127M over FCPA violations in Brazil
Singapore-based commodity trading company Trafigura agreed to pay nearly $127 million as part of a resolution with the Department of Justice addressing violations of the Foreign Corrupt Practices Act in Brazil.
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News Brief
Chemours: DOJ, SEC probing exec accounting misconduct
Chemours disclosed it received requests for information from the Department of Justice and Securities and Exchange Commission regarding findings from an internal review into alleged accounting misconduct by several of its top executives.
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Webcast
CPE webcast: Rapid expansion of global forced labor regulations
Join us as we dive into the best practices for performing due diligence across your entire supply chain—from the sourcing of raw materials to the delivery of finished goods—to become (and stay) compliant with this ever-evolving landscape.
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Premium
U.K. sets recommendations to address misogyny in finance
Sexism, sexual assault, and bullying are rife at financial services organizations, according to a recent report by the U.K. Treasury Committee. “The government and financial regulators have important roles to play in driving change,” the committee said.
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Blog
Cineworld Group announces general counsel
Theater company Cineworld Group announced the appointment of John Henrich as general counsel.
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Blog
Moon Valley Nurseries names general counsel
Tree and plant nursery Moon Valley Nurseries announced the appointment of Michael Minnaugh to general counsel.
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Blog
Inspired Entertainment appoints general counsel
Inspired Entertainment, a business-to-business provider of gaming content, announced the appointment of Simona Camilleri as general counsel.
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Blog
Carl Marks Securities announces chief compliance officer
Broker-dealer Carl Marks Securities announced the appointment of Jon Roberts as chief compliance officer.
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Blog
Fortifi welcomes general counsel, chief compliance officer
Fortifi Food Processing Solutions appointed Robert Gibson as general counsel, chief compliance officer, and environmental health and safety lead.
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News Brief
DOL orders Tuff Torq to pay $1.8M over child labor violations
The Department of Labor ordered Tennessee-based Tuff Torq Corp. to pay nearly $1.8 million over alleged child labor violations.
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News Brief
FINRA orders Stifel units to pay $2.3M for repeat compliance failures
Two subsidiaries of Stifel Financial Corp. agreed to pay a collective total of about $2.3 million over alleged violations of Financial Industry Regulatory Authority rules regarding nontraditional exchange-traded products.
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Premium
NAVEX whistleblower report finds third parties lead on business integrity
A new report on corporate whistleblowing and hotline trends in 2023 found reporting volume at an all-time high, with key disparities uncovered between reports filed by third parties and those filed by employees.
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Premium
Big Tech practices draw early scrutiny under DSA, DMA
TikTok and X are under investigation related to their respective compliance with the European Union’s Digital Services Act, while the first three companies probed under the Digital Markets Act include Apple, Alphabet, and Meta.
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Blog
Abnormal Security appoints chief legal officer
Email security platform Abnormal Security announced Jeff True joined as chief legal officer.
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Blog
DiamondRock Hospitality Company general counsel to retire
Real estate investment trust DiamondRock Hospitality Company announced Bill Tennis, its longtime executive vice president and general counsel, will retire.
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Blog
TradeXBank AG appoints chief risk officer
Switzerland-based TradeXBank AG announced the appointment of Viviane Gabard as chief risk officer.
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Blog
University of Washington restructures offices under CCO
The University of Washington promoted Jane Yung, who served as executive compliance and risk officer, to vice president and chief compliance and risk officer.