All Compliance Week articles in Web Issue – Page 1309
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Article
CNO Financial Group names chief risk officer
Financial services holding firm CNO Financial Group announced the appointment of Brian Schneider as vice president, enterprise risk management and chief risk officer.
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Article
Bank of Montreal recruits chief risk officer from Citi
Bank of Montreal announced the appointment of Piyush Agrawal as chief risk officer, effective Nov. 1. Agrawal joins BMO from Citigroup, where he held the role of chief risk officer for Citibank, N.A. and global head of climate risk since 2021.
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Article
WellBe Senior Medical appoints chief compliance officer
WellBe Senior Medical announced the appointment of Joshua Aubey as chief compliance officer.
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Article
Ropes & Gray adds Hui Chen as senior adviser for Insights Lab
Global law firm Ropes & Gray announced the appointment of compliance and ethics expert Hui Chen as a senior adviser for its Insights Lab, the legal industry’s first analytics and behavioral science consulting group.
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ArticleLummis-Gillibrand bill would regulate crypto for first time
The Responsible Financial Innovation Act, introduced by Sens. Cynthia Lummis (R-Wyo.) and Kirsten Gillibrand (D-N.Y.), seeks to regulate digital assets, blockchain technology, and cryptocurrencies in the United States for the first time.
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ArticleCalifornia privacy board moves forward with draft CPRA regulations
The California Privacy Protection Agency unveiled draft rules for the soon-to-be enacted California Privacy Rights Act at its board meeting.
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ArticleSEC acting chief accountant: Ethical culture key to auditor independence
Paul Munter, acting chief accountant at the Securities and Exchange Commission, released a statement acknowledging recurring issues agency staff have observed regarding auditor independence consultations.
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ArticleCohnReznick fined $1.9M for audit failures at Sequential Brands, Longfin
Audit firm CohnReznick agreed to pay $1.9 million as part of a settlement with the Securities and Exchange Commission for improper conduct at two of its clients the SEC previously charged with filing fraudulent financial statements.
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Resourcee-Book: Delivering on ESG: An inside look at FedEx’s corporate transparency
It’s one thing to talk about being a sustainable company, to conduct business in a sustainable way. It is another thing entirely to set sustainability goals, track the progress of those goals, and be transparent about decisions being made.
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Resourcee-Book: Navigating Russian sanctions and preparing for new threats
For chief compliance officers of U.S. companies, navigating Russian sanctions and export controls restrictions might feel like a full-time job on its own right now, not knowing when or where violations could occur in an ever-shifting enforcement landscape.
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ArticleSurvey: Competitive jobs market pushes in-house counsel salaries higher
In-house counsel salaries across every industry bounced back in 2021 from the doldrums of the pandemic, with a competitive jobs market forcing recruiters to offer more bonuses, according to the latest compensation survey by BarkerGilmore.
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ArticleSEC probing Ericsson over Iraq corruption scandal
The Securities and Exchange Commission opened an investigation into Ericsson following the Swedish telecommunications company’s acknowledgement of evidence of “corruption-related misconduct” that occurred in its Iraq operations.
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ArticlePrimer: Third-Party Risk Management & Oversight Summit
Editor In Chief Kyle Brasseur previews Compliance Week’s Third-Party Risk Management Summit, a two-day conference solely dedicated to the sharing of knowledge and experience within TPRM.
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Resourcee-Book: Finance Automation: Thriving in the Age of Change
While most accounting teams have replaced their manual accounting practices with an updated, digital version, many are still following the old rules, such as close-related tasks being completed on a certain day of the month.
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ArticleSEC charges investment adviser, CCO with selling fraudulent securities
A.G. Morgan Financial Advisors, its owner, and its former chief compliance officer were charged by the SEC with securities laws violations for unlawfully offering and selling more than $500,000 worth of unregistered, fraudulent securities.
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ArticleAddressing fraud via social media
Fraud and social media have a special relationship, with the two frequently combining to cause harm, distress, and loss to an enormous number of people.
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ArticleSEC to Schwab: Return $187M for robo-adviser misstatements
Three Charles Schwab subsidiaries have agreed to pay $187 million to settle SEC charges the units were allocating investors’ cash holdings in a way that was less profitable under most market conditions and misled investors about the strategies involved.
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ArticleGoogle fine in Spain prompts revisit of GDPR effect on tech
Google’s latest fine for violations of the General Data Protection Regulation reignites the discussion around why Big Tech firms have not been more frequently penalized under the EU’s stringent privacy law.
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Article
OneSpan adds chief compliance officer
Cybersecurity software provider OneSpan announced the addition of Lara Mataac as general counsel and chief compliance officer.
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Article
BitPay hires new chief compliance officer
Cryptocurrency platform BitPay has hired Allison Raley as chief compliance officer and general counsel.