All Compliance Week articles in Web Issue – Page 108
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PremiumN.Y. law to pose hurdle for RIA’s off-channel comms supervision efforts
A New York state law that takes effect next year will make it more difficult for registered investment advisers in the state to conduct proactive testing for violations of their firms’ off-channel communication policies.
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News BriefFCPA opinion tackles government-authorized payments
A new Foreign Corrupt Practices Act review by the Department of Justice offers an example of when stipends paid to foreign government personnel would not be considered a violation of the anti-bribery provisions of the law.
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PremiumDue diligence in China: Mitigating arrest, detention risks
Lack of transparency around how to remain within the legal bounds of China’s national security laws has heightened companies’ concerns regarding performing on-site due diligence in the country.
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News BriefFCA review finds fraud victim support lacking
Payment service providers could do more to support victims of fraud, including through better communication procedures, a review by the U.K. Financial Conduct Authority found.
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News BriefGE Aerospace to pay $9.4M in DOJ false claims case
GE Aerospace, an operating division of General Electric, agreed to pay more than $9.4 million as part of a settlement with the Department of Justice addressing allegations the company sold parts to the U.S. military without proper inspections or specifications.
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News BriefCFPB proposes expanded oversight of nonbank companies
The Consumer Financial Protection Bureau is seeking greater authority to supervise the activities of companies that offer services like digital wallets and payment apps on par with how the agency oversees large banks, credit unions, and other financial institutions.
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PremiumBiden AI executive order tips hand on areas of regulation focus
It’s all hands on deck at the White House to put into motion the dozens of directives in President Joe Biden’s executive order on artificial intelligence, according to Nik Marda, chief of staff for the Technology Division in the Office of Science and Technology Policy.
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VideoManeuvering the regulatory landscape
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Amy Mertz Brown, a former chief compliance officer and independent consultant/attorney; Ellen Hunt, principal consultant and advisor at Spark Compliance Consulting; and Linda Tuck Chapman, CEO of the Third-Party Risk Institute. The event ...
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VideoA holistic journey through integration
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Ja’Vaughn Jones, vendor risk management director at Kaiser Permanente; Tiffany Bray, vice president, senior third-party risk manager at Seacoast Bank; and Chris Phillips, vice president, procurement and vendor risk at Lendmark Financial Services. ...
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VideoExcelling at vendor management
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Paul Kurtz, director of third-party risk management at MerchantE; Michael Rickman, president at Bear Lake; and Adrene Maria Odom, vice president, risk and vendor management at Lafayette Federal Credit Union. The event was ...
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VideoCybersecurity essentials in third-party relationships
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Melissa Thomas, senior manager of information security at Intuit; David Kessler, vice president and associate general counsel at BAE Systems; and James Goepel, general counsel and director of education and content at FutureFeed. ...
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VideoStrategies for integrating ESG in compliance directives
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between William Nelson, associate general counsel at the Investment Adviser Association, and Becky Haney, program manager for ESG data and reporting at Steelcase. The event was held Nov. 6-7, 2023.
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VideoNavigating sanctions compliance in third-party partnerships
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Jessica Sanderson, founding member at Sanderson Law Firm, and Rodney Campbell, senior vice president, head of third-party risk management at Valley National Bank. The event was held Nov. 6-7, 2023.
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VideoBest practices for third-party compliance audits
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Virgene Foreman, director VMO of internal controls at Lincoln Financial; Lila Acharya, partner at Crawford & Acharya; and Renica Hamilton, assistant vice president at Lincoln Financial. The event was held Nov. 6-7, 2023.
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VideoForming risk-based approaches to due diligence
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Josh Bryant, senior data privacy analyst at J.B. Hunt; Ramsey Kazem, regional compliance officer at Andritz; and Rob Seibel, former associate vice president, global ethics and compliance at Bath & Body Works. The ...
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VideoWhat you need to know about protecting your data
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a presentation by Gregory Rasner, senior vice president, cybersecurity third-party risk at Truist. The event was held Nov. 6-7, 2023.
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VideoThe ABCs of an effective program
This session from Compliance Week’s 2023 virtual Third-Party Risk Management & Oversight Summit features a discussion between Steve Naughton, director of regulatory compliance studies at Loyola University Chicago Law School, and Michael Volkov, CEO of the Volkov Law Group. The event was held Nov. 6-7, 2023.
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News BriefCFTC touts record digital asset results in FY23 enforcement recap
The Commodity Futures Trading Commission solidified its view that it should be a primary regulator of cryptocurrencies with a record amount of cases regarding the digital asset space in fiscal year 2023.
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PodcastDigital Transformation of Compliance podcast: CW Advisory Board member Stan Yakoff
In this episode of the Digital Transformation of Compliance podcast series, Stan Yakoff, a CW Advisory Board member and Fordham Law professor, shares his perspectives on sourcing new technologies, data measurement, and areas where tech can make the biggest impact.
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WebcastCPE Webcast: How best practices in triage protocol can boost compliance and reduce risk
With recent announcements of increasingly stringent federal policies around record-keeping and due diligence, compliance and investigation professionals are feeling the pressure to demonstrate consistency and rigor in their case management processes.