All Compliance Week articles in Web Issue – Page 1175
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Article
Neuronetics appoints CCO, general counsel
Medical technology firm Neuronetics announced the addition of Andrew Macan as senior vice president, general counsel, chief compliance officer and corporate secretary.
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Article
Jack in the Box announces new risk chief
Fast-food restaurant chain Jack in the Box announced the promotion of Sarah Super to senior vice president, general counsel and chief risk officer amid a trio of recent executive appointments.
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Article
E*TRADE names chief risk officer
E*TRADE Financial Corp. announced Brent Simonich will assume the chief risk officer role after Paul Brandow advised the company of his decision to retire, following over a decade of service to the firm.
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ArticlePark Strategies execs draw ire of OFAC in settlement
Park Strategies will pay a relatively tame $12,150 to settle apparent OFAC violations, though the behavior of the lobbying firm’s executives was listed as an aggravating factor in the case.
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ArticleSix strategies for FinTech adoption in banking
Thomas Wan of the International Compliance Training Academy outlines strategies for navigating the dynamic terrain of FinTech adoption within the banking industry.
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ArticleSEC issues first whistleblower awards of 2020
The Securities and Exchange Commission announced its first whistleblower awards of the new year in connection with two separate enforcement actions.
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ArticleSFO guidance could help companies combat U.K. Bribery Act charges
New internal guidance from the U.K. Serious Fraud Office outlines what the regulator considers in determining if a company’s compliance procedures are adequate enough to defend against U.K. Bribery Act charges or qualify for a deferred prosecution agreement.
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ResourceWhite paper: Enforcement Actions: Monitoring Trends, Regulatory Complexity, and Best Practices for Risk Management
Learn how financial compliance, risk, and crime professionals can efficiently track and monitor the growing number of enforcement actions and current trends in Compliance.ai’s latest eBook.
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SponsoredThe Cost of Third-Party Cybersecurity Risk Management
Survey of 600 IT security professionals finds organizations and third parties view their third-party cyber risk management (TPCRM) practices as important but ineffective today.
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ArticleLessons from a CCO ‘in way over his head’
A recent court ruling tells the story of a former chief compliance officer that “literally had no idea what he was doing or what he was getting himself into” when he took the position at an investment advisory firm.
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ArticleEagle Shipping settles ‘egregious’ OFAC case for $1.1M
Eagle Shipping International will make a handful of enhancements to its compliance controls as part of a $1.125 million settlement with the Department of the Treasury’s Office of Foreign Assets Control.
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ArticleEricsson discloses E&C enhancements since $1B FCPA settlement
Ericsson in a recent regulatory filing disclosed in more detail what improvements it has made to its ethics and compliance program following its $1 billion settlement with U.S. authorities last year concerning violations of the Foreign Corrupt Practices Act.
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Article
Respected compliance thought leader Robert Bostrom dies
Robert Bostrom, who was named chief legal and compliance officer and corporate secretary for Pier 1 Imports this time last year, has passed away.
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ArticleTI reveals political power correlation to corruption
Lack of campaign finance transparency and increased perceptions of political power among the wealthy are factors that correlate with a high risk of corruption according to Transparency International’s 2019 Corruption Perceptions Index.
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Article
Airbus announces resolution of global corruption case
Airbus confirmed it has reached a deal with authorities in the United States, the United Kingdom, and France to resolve long-running allegations of bribery and corruption. The settlement could reportedly be worth billions.
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ArticleStudy: Adopting lease accounting could hurt stock prices
A new study from Florida International University professors says retailers such as Urban Outfitters, Foot Locker, and Abercrombie & Fitch—that have a significant use of operating leases—reported abnormal stock returns when they disclosed earnings.
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ArticleCFTC to adopt NIST Privacy Framework
The Commodity Futures Trading Commission will become the first federal agency to adopt the National Institute of Standards and Technology Privacy Framework, the agency has announced.
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EventJames Comey, Samantha Power highlight CW2020 lineup
Register today and join more than 600 industry executives to network and share best practices and to meet and learn from world-class speakers like James Comey, Samantha Power, and more. May 18-20 in Washington D.C. For more information, reach out to Donna O’Neill at donna.oneill@complianceweek.com.
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ArticleCan CPA firms help with new revenue recognition standard?
Robert Durak of the AICPA provides seven requests companies should make of their auditors when tackling revenue recognition implementation to avoid putting auditor independence at risk.
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Article
Antitrust Division appoints deputy assistant attorney general
The Justice Department’s Antitrust Division has named Alexander Okuliar as deputy assistant attorney general, responsible for civil merger and conduct investigations and litigation.