All Compliance Week articles in Web Issue – Page 1474
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Blog
TFSB names TMNA diversity chief as CEO
Toyota Financial Savings Bank (TFSB) named Tellis Bethel, Toyota Motor North America (TMNA) group vice president, chief social innovation officer, and chief diversity officer, as its president and CEO.
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WebcastCPE Webcast: IT controls: Navigating the path to a secure digital future
A comprehensive IT controls program is crucial to safeguard your organization’s assets, ensure data integrity, and maintain regulatory compliance.
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News BriefFINRA fines Merrill Lynch, BofA Securities $2.3M for reporting, registration failures
The Financial Industry Regulatory Authority issued two separate fines against Merrill Lynch and BofA Securities totaling nearly $2.3 million for reporting violations and failing to timely file amendments on registration forms for their registered representatives.
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News BriefTD Bank unit to pay $28M in penalties for failing to properly supervise rogue trader
Broker-dealer TD Securities failed to prevent a trader from placing and then withdrawing thousands of false trades over the course of a year in part because its compliance department failed to follow up on red flags generated by the illegal trades, three regulators said.
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PremiumAre the qui tam provisions of the False Claims Act constitutional? A Florida judge just said no
A federal court in Florida has lashed out at federal whistleblower programs by dismissing a mundane False Claims Act case against a medical practice on the grounds that the qui tam provisions of the FCA are unconstitutional.
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News BriefStarling Bank fined $38.5M for repeatedly onboarding high-risk customers
The U.K.’s Financial Conduct Authority fined Starling Bank, Britain’s first digital bank, nearly 29 million pounds (U.S. $38.5 million) for repeated failures related to onboarding high-risk customers.
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News BriefT-Mobile reaches $31.5M settlement with FCC over multiple data breaches
T-Mobile, which experienced three huge data breaches in the past three years, agreed to pay $31.5 million in penalties and remediation for failing to protect millions of its customers’ personal information as part of a settlement with the Federal Communications Commission.
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News BriefSEC enforcement head Grewal to step down
Gurbir Grewal, director of the Securities and Exchange Commission’s Division of Enforcement, will step down from his post Oct. 11. Grewal, who had served as the division’s director since 2021, will be replaced by Sanjay Wadhwa, currently the division’s deputy director, the SEC said.
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WebcastWebcast: Compliance Training 2.0: The power of legal-HR collaboration
This webinar explores the critical importance of cross-functional collaboration in developing and implementing effective compliance training programs within organizations.
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PremiumNew U.K. enforcement body piles pressure on sanctions evaders
Global sanctions rules are increasing rapidly, as are tools to detect and punish those who break them. In response, the U.K. government is creating a new Office of Trade Sanctions Implementation to investigate and penalize those who break sanctions rules.
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Blog
Altruist names compliance, ethics, risk chief
Altruist, the modern custodian for independent registered investment advisors, announced the appointment of LaSalle Vaughn as its new chief compliance, ethics, and risk officer.
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Blog
Oculis announces chief legal officer
Biopharmaceutical company Oculis Holding AG announced the appointment of Daniel Char to the role of chief legal officer.
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Blog
Princeton University’s first compliance chief to step down
Princeton University’s first chief audit and compliance officer Nilufer Shroff will step down at the end of this academic year.
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Blog
Vibrant Emotional Health welcomes GC
Vibrant Emotional Health announced the appointment of Todd Pearson as its new general counsel.
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Blog
CBA announces group risk chief
Commonwealth Bank announced that Andrew Hinchliff has been appointed group chief risk officer.
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Blog
Bunker Hill names Rare Element GC to board
Bunker Hill Mining Corp. announced the appointment of Kelli Kast, who serves as the vice president, general counsel and chief administrative officer of Rare Element Resources, to its board of directors.
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Blog
Cowbell names general counsel
Cowbell, a provider of cyber insurance for small and medium-sized enterprises and middle-market businesses, has promoted Eric Biderman to general counsel.
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Blog
Bybit appoints legal, compliance chief
Cryptocurrency exchange Bybit announced the appointment of Robert MacDonald as the new chief legal & compliance officer.
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Blog
Silvaco appoints general counsel
Silvaco Group, an electronics design automation tools and semiconductor IP provider, announced the appointment of Candace Jackson as senior vice president, general counsel and corporate secretary.
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Basic PageAI Governance Benchmarking Survey
This is a Compliance Week Survey, sponsored by GAN Integrity. It is completely anonymous and designed to help benchmark the approaches compliance is taking to AI Governance. Results will be shared by Compliance Week and GAN Integrity in the form of a benchmark report.