All Compliance Week articles in Web Issue – Page 1255
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ArticleU.K. regulatory system also at fault in Greensill collapse
The collapse of Greensill Capital has led to investigations into how the company got into the financial mess it did and why alarm bells didn’t ring. But one investigation is noticeably conspicuous by its absence—why the company wasn’t properly regulated in the first place.
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ArticleNew NIST revisions expand scope of cyber supply chain risk management guidance
The National Institute of Standards and Technology is seeking comment on a revised version of its cyber supply chain risk management guidance that is intended for a broader audience of public and private companies.
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Bed Bath & Beyond appoints chief accounting officer
Retailer Bed Bath & Beyond has named John Barresi to the newly created role of senior vice president of finance, chief accounting officer.
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Hershey names general counsel
The Hershey Company promoted James Turoff to senior vice president, general counsel and secretary. Turoff has served as acting general counsel since December 2020.
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Circle appoints chief compliance and risk officer
Circle, a global financial technology firm, announced the appointment of Mandeep Walia as chief compliance and risk officer.
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ArticleDeutsche Bank names new group AML officer amid enhanced scrutiny
Deutsche Bank named Joe Salama global head of anti-financial crime and group anti-money laundering officer less than a month after its AML controls were criticized by German financial regulator BaFin.
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GSR adds chief risk officer
Digital asset trading platform GSR announced the appointment of Jon Loflin as chief risk officer and managing director.
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Newbridge Financial Services names chief compliance officer
Newbridge Financial Services Group, an affiliate of Newbridge Financial, announced the promotion of Jennifer Dorfman to chief compliance officer.
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Tiedemann appoints chief compliance officer
Independent investment and wealth advisor Tiedemann Advisors announced the appointment of Whitney Fogle Lewis as chief compliance officer and deputy general counsel.
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USRA adds chief ethics and compliance officer
The Universities Space Research Association announced the appointment of Rochelle Ford as vice president, corporate affairs and governance. She will also serve as chief ethics and compliance officer.
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Trinity Health tabs chief integrity and compliance officer
Trinity Health announced the appointment of Dawn Geisert as senior vice president and chief integrity and compliance officer.
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Melio hires former Amex exec as chief compliance officer
B2B payments company Melio announced the appointment of former American Express executive Jonathan Polk as general counsel and chief compliance officer.
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Former Santander CCO joins K2 Integrity
Compliance monitoring firm K2 Integrity announced former Santander CCO Fred Springer has joined the firm as a senior managing director in its Financial Crimes Risk Management (FCRM) practice.
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ArticleSurvey: Audit still facing hurdles with next-gen tech
Many senior audit leaders and their teams are still in the early stages of, or have not yet begun, implementing next-generation tools and strategies into their internal audits, according to a new survey.
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Nomura, UBS, UniCredit fined $453M total over EU cartel scheme
The European Commission fined Nomura, UBS, and UniCredit a total of €371 million (U.S. $453 million) for their participation in a cartel scheme through a group of traders. Bank of America, Natixis, NatWest, and Portigon were also each allegedly involved but not penalized.
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ArticleSurvey: Data access further complicated by emerging privacy laws
A recent survey of 100 executives from Fortune 500 companies found more than half are struggling to balance easy access to company data with privacy and security compliance under laws like the GDPR and CCPA.
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Blockchain.com names head of legal and compliance
Blockchain.com has named Lindsey Haswell as chief legal officer and chief administrative officer. In this role, she will be responsible for leading the legal, compliance, and HR teams for the cryptocurrency blockchain company.
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ArticleFormer SEC whistleblower head Jane Norberg joins Arnold & Porter
Jane Norberg, former head of the whistleblower office at the Securities and Exchange Commission, has joined D.C. law firm Arnold & Porter as a partner.
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ArticleAML culture is in need of a revamp
Bank culture continues to be a problem following the 2008 financial crisis, and strategies formed to prevent money laundering haven’t fared much better. It’s time for a new approach, writes Martin Woods.
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ArticleDanske Bank adds new chief risk officer from SEB
Danske Bank announced the appointment of Magnus Agustsson as its new chief risk officer. Agustsson will join the bank from SEB, where he held the same position.