All Compliance Week articles in Web Issue – Page 24
-
Blog
Antelope Enterprise announces compliance chief
Antelope Enterprise Holdings Limited, a provider of electricity through natural gas power generation, announced the appointment of Junjie Dong as the new corporate secretary and chief compliance officer.
-
Blog
World Bank Group appoints risk chief
The World Bank Group announced the appointment of Dennis McLaughlin as chief risk officer and vice president.
-
Blog
1inch appoints new compliance chief
Crypto trading firm 1inch announced the appointment of Hedi Navazan as the group’s new chief compliance officer.
-
News BriefFINRA fines Morgan Stanley $1M for alleged documentation failures
The Financial Industry Regulatory Authority fined broker-dealer Morgan Stanley $1 million over alleged documentation failures related to risk management controls and supervisory procedures involving violations of the Market Access Rule.
-
News BriefTexas health group pays $14.2M for alleged physician self-referral violations
A Texas health care organization agreed to pay $14.2 million to settle allegations it filed false claims related to violations of the “Stark” self-referral law, according to the Department of Justice.
-
ResourceWhite paper: Constructing a Cohesive Cybersecurity Foundation
The individual requirements for your security and risk operations are increasingly complex—and interconnected. Yet despite this increased interconnectivity, many organizations still manage their security operations (SecOps) and integrated risk management (IRM) functions in silos.
-
Blog
Sonida announces new GC
Sonida Senior Living, an owner, operator and investor in senior living communities, announced that Tabitha Bailey will be appointed senior vice president and chief legal officer, effective Jan. 1.
-
Blog
Church Pension Group names legal chief
The Church Pension Group announced the appointment of Julian Chung as executive vice president, chief legal officer and corporate secretary.
-
Blog
BambooHR appoints legal chief
BambooHR announced the appointment of Jonathan Vaas as the company’s new chief legal officer.
-
Blog
Bitfarms appoints US general counsel
Bitfarms, vertically integrated Bitcoin data center operations firm, announced that it has appointed Rachel Silverstein as US general counsel.
-
PremiumUnderfunding of BSA/AML compliance made TD Bank an unwitting partner to cross-border crime
Law enforcement officials stumbled on TD Bank’s role in money laundering while investigating a Mexican drug cartel. They found that the bank’s corporate culture considered compliance, particularly BSA/AML compliance, a low priority. As they dug deeper, authorities discovered that multiple money laundering schemes had infiltrated the bank’s network.
-
WebcastCPE Webcast: Compliant First AI: Risk Management Best Practices for Financial Institutions in 2025
Attend this Compliance Week webinar to synthesize the current ”state-of-play” for current and proposed rules for the ethical and responsible use of AI in financial services settings.
-
News BriefReal estate firm JLL fined by Canada’s FINTRAC for AML, KYC failures
Canada’s anti-money laundering regulator fined Toronto-based real estate firm Jones Lang Lasalle $107,827 Canadian dollars (U.S. $77,632) for six violations of its anti-money laundering rules, after discovering gaps in recordkeeping and reporting requirements for know your customer rules.
-
News BriefVystar pays $1.5 million for alleged lack of due diligence with launch of troubled banking system
VyStar credit union has agreed to pay a $1.5 million fine and make restitution to customers harmed by its alleged lack of due diligence when it launched a new banking platform, the Consumer Financial Protection Bureau said.
-
News BriefMeta discloses potential CFPB lawsuit following probe into advertising, disclosure practices
Meta disclosed in a public filing that an investigation by the Consumer Financial Protection Bureau related to financial product advertising on platforms Instagram and WhatsApp may lead to a lawsuit.
-
PremiumElection rules aimed to curb AI misuse may serve as regulatory warning for all advertisers
With the presidential election this week, one fear has remained on the minds of voters regardless of their political stripe–that artificial intelligence will be misused to change the outcome of the race.
-
Blog
Philips & Cohen announces global GC
Phillips & Cohen Associates, deceased account care management and technology solutions provider, announced the appointment of Chris Lagow as its new global general counsel.
-
Blog
Premier Transportation appoints compliance chief, GC
Premier Transportation named Shiriki Jones, ESQ, as chief compliance officer, general counsel.
-
PremiumMeta-backed EU appeals body facing conflicts of interest concerns
Ireland’s cozy relationship with big business and Big Tech has once again come under scrutiny after the country’s media regulator allowed a $15 million one-off funding payment from Meta’s Oversight Board Trust to help launch the newly formed Appeal Centre Europe.
-
News BriefJPMorgan Chase to pay $151M in penalties, restitution to settle disclosure lapses
Two affiliates of JPMorgan Chase have agreed to pay $151 million to settle five separate enforcement actions for making misleading disclosures, breaching fiduciary duties, and other failures related to investors.