All Compliance Week articles in Web Issue – Page 250
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ArticleGerman supply chain draft legislation expected to have far-reaching effect
Companies of a certain size with ties to Germany must soon establish robust due diligence procedures to prevent human rights and environmental abuses both within the course of their own business activities and within their global supply chains.
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ArticleCuriosity is important for compliance professionals
Rapid developments in technology and an uncertain future underscore the need for compliance professionals to embrace curiosity both personally and professionally in order to protect their firms from risk.
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ArticleSEC awards $31M to whistleblowers between 2 separate cases
The Securities and Exchange Commission announced more than $31 million in whistleblower awards related to two orders, with the largest share of $27 million split between two claimants in one case.
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ArticleSwiss Life to pay $77.4M for tax evasion scheme
Swiss Life Holding and three of its subsidiaries entered a deferred prosecution agreement with the Justice Department and will pay $77.4 million for conspiring with U.S. taxpayers to conceal more than $1.4 billion in offshore insurance policies.
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ArticleSFO probing Sanjeev Gupta business ties to Greensill Capital
The U.K. Serious Fraud Office has launched an investigation into suspected fraud and money laundering in financing arrangements between steel and mining magnate Sanjeev Gupta and recently collapsed Greensill Capital.
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ArticleState Street to pay $115M for mutual fund overcharges
State Street will pay a $115 million criminal penalty and enter into a deferred prosecution agreement with the Department of Justice for mutual fund and expenses overcharges.
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ArticleGerman finance regulator orders N26 to improve AML controls
BaFin, Germany’s market regulator, has ordered mobile bank N26 to improve its anti-money laundering controls, taking the unusual move to appoint a “special commissioner” to monitor its progress.
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ArticleUpdated DOJ guidance stresses need for data in compliance training
An expert panel at CW’s 2021 National Conference discussed the importance for companies to embrace behavioral analytics in their training programs to align with updates to the DOJ’s “Evaluation of Corporate Compliance Programs” guidance.
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ArticleEricsson to pay Nokia $97M to settle FCPA-related damages claim
Swedish telecom giant Ericsson has reached a settlement of €80 million (U.S. $97 million) with Nokia relating to events that were the subject of a 2019 FCPA resolution with U.S. authorities.
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ArticleCombating terrorist financing: Coordination and the ‘human element’
Fundamental differences in ideology and motivation differentiate a terrorist from organized criminal groups. However, a debate rages over the connection between transnational organized crime and terrorist financing.
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ArticleSEC fines broker-dealer $1.5M for SARs filing failures
GWFS Equities will pay $1.5 million as part of a settlement with the SEC for lapses in the filing of suspicious activity reports related to the threat of cyber-breaches.
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ArticleCompliance Week 2021: Day 2 live blog
Check out some of the insights shared and key moments from Day 2 of our 16th annual National Conference.
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ArticleSEC awards $22M to two whistleblowers in contentious case
Two whistleblowers sought to undermine each other in vying for the majority of a $22 million award issued by the SEC regarding malfeasance reported at a financial services firm.
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VideoEIC2021 CCO of the Year: Justin Ross
Justin Ross shares how FedEx handled PPE and vaccine distribution globally and more COVID-19 challenges upon being named CCO of the Year at CW’s 2021 Excellence in Compliance Awards.
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VideoEIC2021 Compliance Program of the Year: Tenneco
Kim Yapchai shares insight into Tenneco’s core values and how the company promoted integrity during the COVID-19 pandemic upon accepting Compliance Program of the Year honors at CW’s 2021 Excellence in Compliance Awards.
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VideoEIC2021 Lifetime Achievement in Compliance: Emmanuel Lulin
Emmanuel Lulin shares how he transformed L’Oréal’s E&C program as chief ethics officer and the hardest lesson he learned during his storied career upon being honored for Lifetime Achievement at CW’s 2021 Excellence in Compliance Awards.
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VideoEIC2021 Rising Star in Compliance: Jennifer Newton
Jennifer Newton, founder of the National Association of Black Compliance & Risk Management Professionals, shares her advice for advancing social change and more upon being named Rising Star in Compliance at CW’s 2021 Excellence in Compliance Awards.
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VideoEIC2021 Compliance Innovator of the Year: Sarah Partington
Sarah Partington shares how she keeps a fresh and positive approach to her job as senior compliance officer at The MetroHealth System upon being named Compliance Innovator of the Year at CW’s 2021 Excellence in Compliance Awards.
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VideoEIC2021 Compliance Mentor of the Year: Ellen Hunt
Ellen Hunt, VP of compliance operations at LifePoint Health, explains her approach to advising others and what encouragement she would give to future compliance officers upon being named Compliance Mentor of the Year at CW’s 2021 Excellence in Compliance Awards.
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VideoEIC2021 Compliance Consultant of the Year: VANTAGE
Zachary Rothstein of Control Risks explains how the company’s TPRM solution VANTAGE helped with clients’ due diligence efforts amid the COVID-19 pandemic upon accepting Compliance Consultant/Advisor of the Year honors at CW’s 2021 Excellence in Compliance Awards.