All Compliance Week articles in Web Issue – Page 15
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News BriefFINRA ends year with string of fines against Jefferies, UBS, Citi, Barclays
The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged misconduct, but all related to the firms’ failures to implement a supervisory system reasonably designed to achieve compliance with FINRA rules.
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PremiumExperts unsure of risk appetite as EU beefs up cyber rules for critical infrastructure
New rules on cyber risk management across the EU put execs firmly in the crosshairs for noncompliance and are likely to apply to a wider range of organizations than many business leaders may initially think. However, there are also concerns that the rules may become muddled across the wide bloc. ...
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PremiumTPRM critical as DORA, new FCA third-party engagement rules come into effect in 2025
New rules that push IT firms providing “critical” services to the U.K.’s financial sector to share more data about cyberattacks and resiliency measures have been welcomed by industry experts. However, concerns remain over how suppliers will be classified and how key data might be gathered and shared.
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PremiumGoogle’s fate under Trump could be a sign of antitrust battles to come in 2025
As Donald Trump begins his transition to become president, there are questions about the fate of tech companies, as well as regulators from multiple administrations. Google in particular is fighting a high-profile antitrust ruling after an investigation started by Trump in 2020 could be resolved in his next administration.
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PremiumData analytics in compliance: Time to get started, or expand, in 2025
Launching or expanding a corporate data analytics program for compliance can seem like a daunting task, but it is one worth adding to your to-do list in 2025.
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News BriefRussian-Israeli LockBit developer to be extradited to U.S. for extorting $500M
An alleged software mastermind of the notorious LockBit ransomware group will soon be extradited to the United States to stand trial on charges that his criminal enterprise extorted at least half a billion dollars from victims worldwide, including U.S. businesses and hospitals, the Department of Justice said.
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News BriefTop 5 risks for 2025: U.S. uncertainty, global trade war, digital attacks
A prominent risk management firm has issued its predictions for the top five risks for business in 2025, along with guidance for how organizations should prepare and respond.
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Blog
Synovus names former Fidelity risk chief to board
Synovus Financial Corp appointed Greg Montana, former executive vice president and chief risk officer of Fidelity National Information Services, to its board of directors, effective Jan. 1.
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Blog
Eaton names general counsel
Intelligent power management company Eaton announced that Lucy Clark Dougherty has been named general counsel, effective Jan. 27.
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Blog
Trane Technologies adds sustainability chief
Trane Technologies, a global climate innovator, announced the appointment of Mauro Atalla as chief technology and sustainability officer, effective Jan. 5.
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Blog
Banzai appoints chief legal officer
Marketing technology company Banzai International announced the appointment of Nancy Norton as chief legal officer.
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Blog
Surf Air Mobility names ex-legal chief to board
Surf Air Mobility announced the appointment of David Anderman, who served as chief legal officer of the company from June 2023 to May 2024, to its board of directors.
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Blog
Upstream Bio appoints GC
Upstream Bio, a clinical-stage company developing treatments for inflammatory diseases, with an initial focus on severe respiratory disorders, announced that the company has appointed Allison Ambrose, J.D. as general counsel.
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Blog
Imperium announces group GC
Private client and funds services group Imperium has appointed Alex Mauger as their group company secretary & general counsel.
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Blog
Orion Corporation announces GC
Pharmaceutical firm Orion Corporation announced that Mikko Kemppainen has been appointed as general counsel and secretary to the board of directors of Orion Corporation, and a member of the executive management board of the Orion Group, effective June 1.
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Blog
Huron appoints general counsel
Global professional services firm Huron announced that it has promoted Hope Katz to executive vice president, general counsel, and corporate secretary, effective Jan. 1.
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Blog
St. Louis Fed names general counsel
Federal Reserve Bank of St. Louis announced that Jennifer Haynes, currently vice president and deputy general counsel, will be promoted to senior vice president, general counsel and corporate secretary, effective Jan. 1.
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Blog
Tokinvest appoints chief compliance officer
Tokinvest, a marketplace that connects real-world asset issuers with investors, announced the appointment of Mike Mingee as chief compliance officer and money laundering reporting officer.
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Blog
HCA Healthcare names ethics, compliance chief
HCA Healthcare announced that Wendy Warren has been appointed senior vice president and chief ethics and compliance officer, effective Mar. 3.
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News BriefRytr agrees to halt fake AI review service in settlement with FTC
Purported “testimonial and review” service Rytr agreed to stop selling its program that used artificial intelligence to create fake content as part of a consent order with the Federal Trade Commission.