All Compliance Week articles in Web Issue – Page 115
-
PremiumLessons from Danske Bank CCO: Four pillars to successful remediation
Outgoing Danske Bank CCO Satnam Lehal shares with Compliance Week lessons learned from addressing deficiencies in the bank’s compliance program while managing the expectations of regulators, the board, employees, customers, analysts, investors, and the public.
-
WebcastCPE Webcast: Focusing on control and compliance
Amid globalization, new business models, and a constantly evolving regulatory environment, finance and accounting professionals face increasing complexities and higher transaction volumes. These issues pose challenges in delivering accurate and timely compliance and controls.
-
News BriefFINRA orders Santander unit to pay $100K over supervision failures
Santander U.S. Capital Markets agreed to pay $100,000 to settle allegations by the Financial Industry Regulatory Authority regarding supervision failures related to misuse of material nonpublic information.
-
Blog
GAM promotes chief risk officer to CEO
Global asset management firm GAM Holding appointed Elmar Zumbuehl as group chief executive officer. Zumbuehl was most recently the global chief risk officer and a member of the GAM group management board.
-
Blog
Equitable Bank appoints chief risk officer
Equitable Bank announced the appointment of Marlene Lenarduzzi as chief risk officer.
-
Blog
East West Bancorp gets new chief risk officer
East West Bancorp, the parent company of East West Bank, announced the appointment of Irene Oh as executive vice president and chief risk officer.
-
Blog
Xcel Energy promotes compliance head to chief customer officer
Xcel Energy announced Amanda Rome as executive vice president, group president of utilities and chief customer officer. Rome served as chief legal and compliance officer since 2021.
-
Blog
TradeZero Canada Securities gets new CCO
TradeZero Holding Corp., which provides online trading platforms for retail traders, announced Leo Ciccone as chief compliance officer of TradeZero Canada Securities.
-
Blog
Dominion Energy promotes chief legal officer
Dominion Energy announced Carlos Brown as president of Dominion Energy Services and executive vice president, chief legal officer and corporate secretary of Dominion Energy.
-
PremiumSurvey finds gender parity progress in general counsel compensation
Pay among women general counsel outpaced men in 2022 for only the second time since 2018, according to the latest compensation benchmarking report from corporate leadership data provider Equilar.
-
News BriefFidelity unit fined $900K by FINRA for due diligence lapses
Fidelity Brokerage Services agreed to pay a $900,000 penalty levied by the Financial Industry Regulatory Authority regarding alleged due diligence failures caused by errors in the firm’s automated screening system.
-
Resourcee-Book: Risks, opportunities under SEC’s cyber incident disclosure rule
The clock is ticking for public companies to put in place policies and practices to meet the requirements of the Securities and Exchange Commission’s newly approved cybersecurity incident disclosure rule.
-
PremiumFinCEN crafting rule proposal for AML and sanctions whistleblower program
Andrea Gacki, the new director at the Financial Crimes Enforcement Network, said the agency is working to issue a notice of proposed rulemaking regarding the establishment of an anti-money laundering and sanctions whistleblower program.
-
News BriefSEC calls out Advisor Resource Council compliance structure in lawsuit
The Securities and Exchange Commission criticized the structure of the compliance program in place at Texas-based investment adviser Advisor Resource Council as part of a lawsuit against the firm and one of its former representatives.
-
PremiumNIST framework might help organizations prepare for AI regulations
The new artificial intelligence framework released by the National Institute of Standards and Technology is not a checklist for AI but might help organizations better manage the risks associated with the technology.
-
Blog
ChristianaCare adds chief compliance officer
ChristianaCare, a network of private, nonprofit hospitals, appointed Gregory Ehardt as senior vice president and chief compliance officer.
-
Blog
UPMC chief legal officer to retire
The University of Pittsburgh Medical Center’s Executive Vice President and Chief Legal Officer Tom McGough announced his intent to retire at the end of this year.
-
Blog
Syracuse University names chief compliance officer
Syracuse University announced the appointment of Christine Stallmann as chief compliance officer.
-
Blog
EBRD names new chief compliance officer
The European Bank for Reconstruction and Development appointed Jelena Madir as managing director, chief compliance officer.
-
Blog
AIG appoints general counsel
Insurance giant American International Group announced the appointment of Patricia Walsh as executive vice president and general counsel.