All Compliance Week articles in Web Issue – Page 1364
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News BriefFINRA fines JPMorgan unit $750K over inaccurate, duplicative orders
JPMorgan Securities agreed to pay $750,000 to settle allegations levied by the Financial Industry Regulatory Authority that its inadequate financial risk management controls and supervisory procedures allowed erroneous orders to be placed with exchanges or alternative trading systems.
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ArticleExpert: It’s time to embrace artificial intelligence
The rapid rate at which technology is developing is staggering, particularly in relation to artificial intelligence. Can we, as compliance practitioners, keep up?
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Resourcee-Book: Navigating changing U.S. data privacy landscape
Businesses are watching five U.S. states where new or amended consumer privacy laws are set to take effect this year. Learn best practices for confronting compliance with multiple state data privacy laws.
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PremiumWhistleblower attorney: Companies that don’t welcome complaints may pay price
Businesses found ignoring tips from employees about possible internal wrongdoing could face stiffer penalties, warned Mary Inman, partner at law firm Constantine Cannon, at Compliance Week’s 2023 National Conference.
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PremiumAsk a CCO: Biggest priority for upgrading compliance tech
Six senior compliance practitioners share their biggest priority areas for making technological upgrades to their respective compliance programs during 2023.
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Blog
Securian Financial recruits DEI chief from Target
Securian Financial announced the appointment of Tariq Malik as second vice president and chief diversity officer.
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News BriefGaia fined $2M for subscriber overstatement, whistleblower retaliation
Digital video subscription service Gaia will pay a $2 million fine to the Securities and Exchange Commission for allegedly overstating its paid subscribers and retaliating against an internal whistleblower.
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News BriefSurgeon general joins call to enhance children’s online privacy
The U.S. surgeon general issued a “call for urgent action” to policymakers about further limiting social media access for youth, along with enhancing online privacy protections for children.
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PremiumAsk a CCO: Pressing pain point in working with data for compliance
Six senior compliance practitioners disclose hurdles their respective departments have faced in utilizing data for compliance purposes.
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Blog
Cartography Biosciences promotes interim COO to chief legal officer
Cartography Biosciences announced the promotion of interim Chief Operating Officer Blaine Templeman to chief administrative and legal officer.
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News BriefOneMain Financial fined $4.25M in NYDFS cybersecurity case
Mortgage servicer OneMain Financial Group will pay $4.25 million to settle allegations it left customer information vulnerable to cyberattacks by failing to implement required controls under New York’s cybersecurity law.
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PremiumFive years in, GDPR still a lightning rod for criticism
The General Data Protection Regulation risks losing credibility if enforcement is not harmonized and privacy by design is not at the heart of tech innovation, said EU officials during a summit marking the fifth anniversary of the legislation.
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News BriefPolite: Voluntary self-disclosure rising since DOJ policy changes
The Department of Justice has seen an uptick in self-reported potential misconduct by corporations since it increased incentives for voluntary disclosure, according to Assistant Attorney General Kenneth Polite Jr.
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PremiumAsk a CCO: Importance of data analytics, AI over next 5 years
Six senior compliance practitioners forecast the impact advances in data analytics and artificial intelligence will have in their future compliance efforts.
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News BriefOCC pledges harder stance on banks that allow weaknesses to fester
The Office of the Comptroller of the Currency could require large banks to take substantial actions to address persistent weaknesses, including restricting their growth or forcing them to divest from risky ventures.
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PremiumRecord Meta fine brings wider GDPR ramifications for EU-U.S. data transfers
Meta’s latest punishment for breaching the European Union’s General Data Protection Regulation will have far-reaching ramifications for companies both in Europe and beyond.
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Supreme Court once again strikes blow to DOJ’s fraud theories
A pair of unanimous Supreme Court decisions handed down earlier this month are the latest in a string of cases in which it has expressed concerns about government overreach regarding anti-corruption enforcement and wire fraud statutes.
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Premium‘Elephant in the room’: Combating tension between compliance, HR
Regulators are collaborating—both domestically and internationally—more than ever before. And they expect companies to be doing the same, noted panelists during a session on collaboration between compliance and human resources at Compliance Week’s 2023 National Conference.
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News BriefGartner to pay $2.5M to settle alleged FCPA violations in South Africa
Gartner agreed to pay nearly $2.5 million as part of a settlement with the Securities and Exchange Commission addressing alleged violations of the Foreign Corrupt Practices Act in South Africa.
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PremiumCW2023: CBP official on early impact of Uyghur forced labor law
Customs agents have flagged thousands of products marked as made in Malaysia, Vietnam, or elsewhere in accordance with the UFLPA, an official from U.S. Customs and Border Protection shared during a panel at Compliance Week’s 2023 National Conference.