All Compliance Week articles in Web Issue – Page 1306
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Article
FTC Democratic majority restored following Bedoya confirmation
Georgetown visiting law professor Alvaro Bedoya has been confirmed as a member of the Federal Trade Commission, following a Senate vote along party lines.
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Article
Binance appoints first deputy general counsel
Binance, the world’s largest cryptocurrency exchange, announced the appointment of Joshua Eaton as the company’s first deputy general counsel.
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ArticleCiti names Tom Anderson as new chief compliance officer
Tom Anderson will be the next chief compliance officer at Citi, effective June 1. His appointment comes two months after Mary McNiff stepped down from the role.
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ArticleFed Chair Jerome Powell confirmed to second term
Jerome Powell is set to begin his second term as chair of the Federal Reserve after receiving bipartisan support in a Senate confirmation vote.
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ArticleKPMG facing $17.6M fine following Carillion tribunal
KPMG is set to pay a reduced fine of £14.4 million (U.S. $17.6 million) from the U.K. Financial Reporting Council over its botched audits at collapsed construction company Carillion and software firm Regenersis.
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ArticleConnecticut fifth state to pass comprehensive data privacy law
Connecticut has joined four other states in passing a comprehensive data privacy law that requires companies to provide consumers with information about the personal data they collect.
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ArticleFrom ‘Institutional Self-Regulation’: Slippery slope of bad habits
Tamar Frankel, honored for Lifetime Achievement in Compliance at the 2022 Excellence in Compliance Awards, authorized CW to share excerpts from her book “Institutional Self-Regulation.” The following is a passage from the book’s chapter on institutional subversive culture, ethics, power, and behavior.
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ArticleFrom ‘Institutional Self-Regulation’: Why compliance?
Tamar Frankel, honored for Lifetime Achievement in Compliance at the 2022 Excellence in Compliance Awards, authorized CW to share excerpts from her book “Institutional Self-Regulation.” The following is a passage from the book’s chapter on compliance, governance, and self-regulation.
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ArticleFrom ‘Institutional Self-Regulation’: Role of culture
Tamar Frankel, honored for Lifetime Achievement in Compliance at the 2022 Excellence in Compliance Awards, authorized CW to share excerpts from her book “Institutional Self-Regulation.” The following is a passage from the book’s chapter on investigations to prevent violations of the law.
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ArticleAllianz unit pleads guilty in $6B fraud settlement
Allianz Global Investors U.S. and three former portfolio managers were charged with lying to investors about a complex options trading strategy, as well as forging documents to cover up the scheme, leading to multibillion dollar losses.
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ArticleCompliance Week 2022 live blog
Check out highlights and takeaways from onsite at Compliance Week’s 2022 National Conference, held May 16-18 at the JW Marriott Hotel in Washington, D.C.
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ArticleCarnival CECO Peter Anderson resigns
Peter Anderson, Carnival’s first chief ethics and compliance officer and a central figure in leading the cruise line giant through its environmental compliance monitorship, has resigned. Richard Brilliant, Carnival’s chief audit officer, will replace Anderson in the new role of chief risk and compliance officer.
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ArticleSpanish DPA fines Google $10.6M for GDPR violations
Spain’s data protection authority has issued a record fine of €10 million (U.S. $10.6 million) against Google for two “serious infractions” of the EU’s General Data Protection Regulation regarding its sharing information with U.S. legal database Lumen.
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ReprintTranscript: Kenneth Polite Jr. keynote address at Compliance Week 2022
A transcript of Assistant Attorney General Kenneth Polite Jr.’s keynote address at Compliance Week’s 2022 National Conference, as edited by Compliance Week.
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Article
Binance.US adds ex-Uber operations compliance head to lead legal
Binance.US announced the appointment of Krishna Juvvadi as vice president, head of legal. Previously, Juvvadi served as global head of operations compliance at Uber.
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Article
Gunderson Dettmer recruits ex-Andreessen Horowitz CCO as partner
Law firm Gunderson Dettmer announced the appointment of former Andreessen Horowitz Chief Compliance Officer Benjamin Buckwalter as partner in its corporate and securities practice.
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Article
Monogram Health appoints chief compliance officer
Monogram Health, an in-home healthcare provider, added Karen Abbott as chief administrative officer and chief compliance officer.
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Article
Zimmer Biomet names chief accounting officer
Zimmer Biomet Holdings, a global medical technology company, announced the appointment of Paul Stellato as vice president, controller and chief accounting officer.
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ResourceWhite paper: How Compliance Can Prevent Risk and Rapidly Respond to Change
The compliance and risk landscape grows more complex each day, and the rate of change in the space is only accelerating.
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ArticleWells Fargo unit fined $7M for AML transaction monitoring failures
For the second time in five years, a subsidiary of Wells Fargo has been charged by the Securities and Exchange Commission with failing to file suspicious activity reports in a timely manner due to deficiencies in the system it used to flag transactions.