All Compliance Week articles in Web Issue – Page 12
View all stories from this issue.
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ArticleArgo launches review into ‘decrepit’ governance woes
Argo Group International Holdings recently announced the launch of a review into governance and executive compensation matters following an SEC subpoena and harsh criticism from an activist investor group.
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Resource
White paper: Mitigate privacy risks and exploit valuable data
The new California Consumer Privacy Act (CCPA) takes effect on January 1, 2020. Ahead of this milestone – and with several States working on new data management regulations – many financial services organizations are concerned with the risks of non-compliance.
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Article
Genesco names new general counsel
Genesco has appointed Scott Becker as senior vice president, general counsel, and corporate secretary. He succeeds Roger Sisson, who retired from Genesco earlier this year.
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Article
Capitala Group names chief compliance officer
Capitala Group, a provider of capital to lower middle market companies, has appointed Kevin Koonts as chief compliance officer and secretary of Capitala Finance.
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Article
Singapore regulator: Technology creates both challenges, opportunities
The evolution of technology is enabling myriad capabilities for regulatory and financial crime compliance, but it is also presenting complex financial crime risks, according to a representative from the Monetary Authority of Singapore (MAS) at the International Compliance Association’s second Asia Pacific (APAC) conference this week in Singapore.
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Article
PCAOB swaps board members, faces whistleblower report
The SEC has ousted Kathleen Hamm as a board member at the PCAOB, replacing her with White House aide Rebekah Goshorn Jurata. The swap, along with a whistleblower report, signal internal strife at the audit regulator.
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Article
Fed rule tailors bank regulations to link requirements to risk
The Federal Reserve Board of Governors approved final rules that tailor its regulations for domestic and foreign banks to more closely link regulatory requirements to the institutions’ risk profiles.
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Article
Gateway First Bank names chief risk officer
Gateway First Bank has appointed Peter Moenickheim as chief risk officer. His responsibilities will span all efforts in enterprise risk management, compliance, and quantitative analytics.
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Article
California governor gives nod of approval to 7 CCPA amendments
Amendments to the California Consumer Privacy Act add clarity, offer a BTB communication reprieve to businesses, and ensure consumers have a method for submitting more information requests.
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Article
FTC antitrust head to step down
Bruce Hoffman, director of the Bureau of Competition, will depart the Federal Trade Commission in November after more than two years in his position.
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Article
Ex-PCAOB leader gets prison time for role central to KPMG scandal
Former PCAOB Inspections Leader Jeffrey Wada was sentenced to nine months in prison for providing the confidential information central to the long-running KPMG inspections scandal.
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Article
Libra springs a leak: Visa, Mastercard, others bail
Visa, Mastercard, and a handful of other companies have followed in the footsteps of PayPal, abandoning the Facebook-led Libra Association amid harsh regulatory criticism surrounding the planned cryptocurrency offering.
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Article
AT&T might be the next Wells Fargo (and doesn’t seem to be doing anything about it)
A federal securities lawsuit against AT T and multiple executives of the company mirrors many of the same troubling ethics and compliance failures that plagued Wells Fargo. Inside, we take a deep dive into the allegations.
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Article
California AG’s proposed CCPA regs leave more questions than answers
Companies subject to the California Consumer Privacy Act requirements now have 24 pages of direction on how to comply with the new law. But will that be enough?
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Article
SEC Bitwise Bitcoin ETF rejection may signal end to cryptocurrency trades
In a 112-page order, the SEC argued against allowing shares of the Bitwise Bitcoin exchange traded fund to be listed or traded because of the likelihood of financial crime surrounding the cryptocurrency.
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Article
Oxfam slams U.K. supermarkets over worker abuses in supply chains
In an effort to cut costs and raise revenue, U.K. supermarkets are endangering employees with such abuses as a lack of toilets, unsafe drinking water, and illnesses resulting from exposure to pesticides, says a new report from Oxfam.
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Article
IRS updates guidance on tax treatment of virtual currencies
As part of a wider effort to assist taxpayers, the Internal Revenue Service has issued two new pieces of guidance for those who engage in transactions involving virtual currency.
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Article
ProPetro shuffles leadership team amid accounting probe
ProPetro Holding has announced a shuffling of its executive leadership team following the completion of a review conducted by its audit committee into a series of internal control failures.
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Webcast
Webcast: Effectively marketing your E&C program
The role of a compliance professional is increasingly complex: Not only do you have to adhere to regulations and legal guidelines, but you have to engage your workforce to participate in your ethics and compliance program for it to be effective. In many ways this is similar to the changing ...
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Resource
White paper: Best practices for Audio Recording Supervision
Best practices for using AI ML to enhance audio recording supervision programs.
