All Compliance Week articles in Web Issue – Page 1467
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Blog
Herring Global appoints compliance head
Herring Global, a digital asset trading and liquidity provision firm, announced that Benjamin Toh has joined as the head of compliance/MLRO.
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News BriefRaymond James to pay $1.9M over failing to supervise mutual fund transactions
Raymond James & Associates and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority that it didn’t have an effective system to handle customer complaints, along with millions of direct mutual fund transactions not reasonably being supervised.
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Blog
Wheels Up announces legal chief
Wheels Up Experience, an on-demand private aviation provider, announced that Matthew Knopf will be joining as chief legal officer and secretary, effective Sep. 9.
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News BriefFinCEN finalizes AML rules for investment advisers, cash real estate transactions
The Treasury Department’s Financial Crimes Enforcement Network released new anti-money laundering requirements for U.S. investment advisers and real estate professionals that attempt to close loopholes that criminals and kleptocrats have long exploited.
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OpinionIan Sherr joins Compliance Week as its new editor-in-chief
New Compliance Week Editor-In-Chief Ian Sherr shares his thoughts on where compliance is headed as businesses meet the realities of not just following the rules, but staying ahead of the pace of regulatory change at a global scale.
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WebcastCPE Webcast: Mastering mobility risks for accelerated growth
Discover how cutting-edge mobile technologies are transforming the business landscape. A strong mobility strategy, paired with a top-tier compliance platform, is essential for scaling in today’s fast-paced environment.
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News BriefFed's new capital requirement latest fallout from 2023 banking failures
The Federal Reserve Board will require more than 30 of country’s largest banks to maintain a minimum percentage of capital in reserve, a percentage which the Fed calculated based on their complexity and whether they are considered a global systemically important bank.
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PremiumStrengthening BSA/AML defenses: Critical role of ERTs in modern day compliance
Enforcement actions in the first half of of 2024 by the Treasury Department’s Financial Crimes Enforcement Network highlight the importance of proactive measures in Bank Secrecy Act compliance rather than just being compliant.
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Blog
Woodward appoints GC, compliance chief
Aerospace and industrial energy control solutions provider Woodward announced the appointment of Karrie Bem as executive vice president, general counsel, corporate secretary, and chief compliance officer, effective Sep 16.
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Blog
Alisa Bank announces general counsel
Alisa Bank appointed Katja Vähäsilta as general counsel and member of the management team, effective Oct. 1.
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Blog
Aspen appoints group compliance head
Insurance firm Aspen announced that Peter Spires has joined as group head of compliance & deputy group general counsel.
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Blog
CMR Surgical names legal chief
CMR Surgical announces the appointment of Markus Bauman as chief legal & business affairs officer.
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Blog
Columbia Climate School names first sustainability chief
Columbia Climate School has named Daniel Zarrilli as the university’s first chief climate & sustainability officer.
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Blog
BRG Financial Institution Advisory practice names a former CCO as MD
Global expert services and consulting firm Berkeley Research Group announced that Michael Hollerich, who earlier served as chief compliance officer for two publicly traded financial services firms, has joined its financial institution advisory practice as a managing director.
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Blog
MDU Resources appoints Avista GC to board
MDU Resources Group announced that Marian Durkin, who was previously senior vice president, general counsel, secretary and chief compliance officer for Avista Corporation, has been appointed to the company’s board of directors.
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Blog
Crash Champions appoints CLO
Crash Champions, provider of high-quality collision repair services, announced the appointment of Seth Ingall as its chief legal officer.
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Blog
Eastman names chief legal officer
Eastman Chemical Company announced that Iké Adeyemi will serve as senior vice president, chief legal officer, and corporate secretary, effective Sep. 9.
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PremiumRaytheon parent to pay $200M in fines, remediation over export control violations
RTX Corp., the parent company of Raytheon, agreed to pay $200 million in fines and remediation to address hundreds of export control violations that led to the disclosure of sensitive military secrets.
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Blog
Wordsmith appoints general counsel
Wordsmith, an AI-powered workspace for in-house legal teams, announced the appointment of Lucy Tyrrell as general counsel.
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Blog
Renishaw announces group GC
Global engineering technologies company Renishaw appointed Kasim Hussain as its new group general counsel and company secretary.