All Compliance Week articles in Web Issue – Page 1447
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Blog
Empower adds chief compliance officer
Retirement services provider Empower announced KC Waldron will join the company as chief compliance officer.
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Blog
Laurentian Bank announces chief risk officer
Montreal-based Laurentian Bank announced the appointment of Christian De Broux as chief risk officer.
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Blog
CSAA Insurance Group names legal chief
CSAA Insurance Group named Katherine Evans as executive vice president and chief legal officer.
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Blog
Broadway Financial appoints GC, chief risk officer
Broadway Financial Corp., the holding company of City First Bank, announced Elizabeth Sur as executive vice president, general counsel and chief risk officer of both Broadway and the bank.
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Blog
Lomiko announces chief sustainability officer
Canadian mining company Lomiko Metals announced Cindy Valence will join as chief sustainability officer.
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Xcel Energy names legal, compliance chief
Utilities company Xcel Energy named Rob Berntsen as executive vice president and chief legal and compliance officer.
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Neptune Flood promotes chief risk officer
Insurance company Neptune Flood announced the promotion of Matt Duffy to managing director and chief risk officer.
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Blog
Baker Tilly names GC as chief risk officer
Advisory, tax, and assurance firm Baker Tilly announced the appointment of Principal and General Counsel Theresa Meiners as chief risk officer.
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Stellantis adds ex-Saint-Gobain CECO as corporate office head
Automaker Stellantis announced that Clara Ingen-Housz, who was previously Saint-Gobain’s group legal counsel and chief ethics and compliance officer, will be appointed head of the global corporate office and public affairs.
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PremiumSEC’s Grewal shares views on ‘Five Principles of Effective Cooperation’
Gurbir Grewal, director of the Enforcement Division at the Securities and Exchange Commission, spelled out plainly his view on the best path to earning cooperation credit during settlement negotiations with the agency.
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News BriefFINRA dings Bank of America unit over notification lapses
The Financial Industry Regulatory Authority fined a Bank of America subsidiary $90,080 for filing untimely or inaccurate notifications related to security distributions and failing to adopt an adequate supervisory system.
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News BriefInnovasis, execs settle false claims case for $12M
Medical device manufacturer Innovasis and two of its top executives agreed to pay a total of $12 million to settle allegations originally brought by a whistleblower that they paid kickbacks to physicians.
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Blog
Texas Capital names chief risk officer
Texas Capital Bancshares, the parent company of Texas Capital, announced the appointment of David Oman to serve as chief risk officer.
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Blog
Alliance Entertainment announces chief compliance officer
Alliance Entertainment Holding Corp. announced the appointment of Robert Black as chief compliance officer.
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Blog
Ardent Health appoints chief compliance officer
Ardent Health announced the appointment of Jason Ehrlinspiel as chief compliance officer.
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Blog
Cetera names chief compliance officer
Cetera Financial Group named Daniel Burkott as chief compliance officer of its tax channel, which includes Cetera Financial Specialists and Avantax.
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PremiumExperts express skepticism toward ‘challenging’ SFO strategy
The U.K. Serious Fraud Office last month published its five-year strategic plan outlining how it intends to improve information gathering and international cooperation, as well as its enforcement record.
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News BriefHyundai Motor caught in DOL complaint over child labor
The Department of Labor sued three Alabama businesses, including a Hyundai Motor manufacturing plant, for employing a 13-year-old worker on an auto parts assembly line.
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PremiumKanter says DOJ adapting antitrust enforcement for AI
The Department of Justice’s Antitrust Division is examining how its policies and enforcement mechanisms are suited to handle potential issues brought about by the proliferation of use of artificial intelligence.
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PodcastPodcast: SEC Commissioner Hester Peirce on regulatory demands, CCO input
Compliance Week’s Aaron Nicodemus sat down for an exclusive chat with SEC Commissioner Hester Peirce covering the flood of new regulation emanating from the agency, stresses on compliance at smaller firms, CCO liability, and more.