All Compliance Week articles in Web Issue – Page 1382
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Blog
MTA names chief diversity and inclusion officer
The Metropolitan Transportation Authority announced the appointment of Lourdes Zapata as chief diversity and inclusion officer.
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Blog
Moody’s promotes analytics unit GC to general counsel
Moody’s Corp. announced the promotion of its analytics subsidiary General Counsel Richard Steele to senior vice president and general counsel.
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News BriefNetwork 1, CCO fined by FINRA for Reg BI failures
Network 1 Financial Securities and its chief compliance officer agreed to pay approximately $740,000 combined, plus interest, as part of a settlement with the Financial Industry Regulatory Authority addressing alleged Regulation Best Interest compliance failures.
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Blog
HomeTrust Bank recruits Southern First Bank CCO for chief risk role
HomeTrust Bancshares, the holding company of HomeTrust Bank, announced the appointment of Lora Jex to executive vice president and chief risk officer.
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Blog
Esquire Financial names chief legal officer
Esquire Financial, the holding company for Esquire Bank, announced the appointment of Gary Lax as senior vice president, chief legal officer and corporate secretary.
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Blog
Distinguished Programs appoints general counsel
Insurance company Distinguished Programs announced the appointment of Ursula Kerrigan as general counsel.
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PremiumQ&A: Lexmark sustainability chief on defying ESG criticism to ‘stay the course’
John Gagel, chief sustainability officer for Lexmark International, shares with Compliance Week why the private company tracks its greenhouse gas emissions and plans to comply with the climate-related disclosure rule proposed by the Securities and Exchange Commission.
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Blog
JFrog names chief legal officer
Software company JFrog announced the appointment of Shanti Ariker as chief legal officer.
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Blog
Lygos appoints chief sustainability officer
Chemicals company Lygos announced the appointment of Chantal Bergeron to chief sustainability officer.
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ArticleFive ways to build a top ethics and compliance team
Luciane Mallmann, head of ethics and compliance for U.K. and Ireland at real estate services company JLL, shares how embedding ethics and compliance into culture, strategy, and operations can add value to a business and its people.
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News BriefGreek shipper fined $2.5M in Iranian oil smuggling case
Empire Navigation pleaded guilty to violating the International Emergency Economic Powers Act by carrying nearly 1 million barrels of Iranian oil from the sanctioned Islamic Revolutionary Guard Corps to another country.
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PremiumCFTC commissioner floats pilot program for digital asset markets
Commissioner Caroline Pham of the Commodity Futures Trading Commission proposed the agency develop a regulatory pilot program for digital asset markets where new initiatives could be introduced and refined.
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News BriefLinus Financial avoids penalty in SEC crypto securities case
Linus Financial avoided a civil penalty in reaching settlement with the Securities and Exchange Commission over its alleged failure to register the offer and sale of its crypto lending product.
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News BriefSEC fines Monolith $225K over violating whistleblower protections
Monolith Resources, a privately held energy and tech company, agreed to pay $225,000 to settle charges by the Securities and Exchange Commission it used employee separation agreements that violated whistleblower protection rules.
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News BriefFDIC acknowledges supervisory lapses in First Republic Bank postmortem
Loss of confidence following the March collapses of Silicon Valley Bank and Signature Bank was the primary reason First Republic Bank failed in May, according to an internal review conducted by the Federal Deposit Insurance Corporation.
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News BriefFinCEN analysis: Trends in Russia export control evasion attempts
Analysis of suspicious activity reports by the Financial Crimes Enforcement Network indicates nearly $1 billion in suspicious activity in cases of suspected evasion of Russia-related export controls.
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PremiumCalifornia cybersecurity audit rule scope begins taking shape at CPPA meeting
A final version of California’s cybersecurity audit rules likely won’t be released until later next year at the earliest, according to a rough timeline discussed by the California Privacy Protection Agency.
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WebcastCPE Webcast: A practitioner’s approach to living with data risk
This session is focused on the practical steps to balancing data risks, looking at the people, practices, and technologies behind the effort.
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OpinionFallout from ‘debanking’ scandal suggests more U.K. bank reforms coming
The former CEO of NatWest’s decision to leak client details to the press regarding Nigel Farage is likely to cost the financial industry millions in new compliance checks as U.K. regulators prepare reviews into how banks treat people with extreme political views.
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News BriefDOJ appoints leaders for corporate enforcement program
The Department of Justice announced new positions in its National Security Division to support the agency’s crackdown on sanctions evasion, export control violations, and other forms of economic crime.