All Compliance Week articles in Web Issue – Page 33
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Blog
First Financial Bankshares announces GC
First Financial Bankshares announced the election of Brian Goodrich as executive vice president and general counsel.
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Blog
ALFI appoints general counsel
The Association of the Luxembourg Fund Industry announced the appointment of Corinne Lamesch as deputy CEO and general counsel.
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PremiumBank mergers will receive more antitrust scrutiny under new FDIC rule
Federal banking regulators approved a new rule for bank mergers that will require additional scrutiny of mergers for antitrust issues for large and mid-sized banks.
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Blog
The Wendy’s Company announces CLO
The Wendy’s Company announced the appointment of John Min as the chief legal officer and secretary.
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Blog
US Capital Global names global CCO
US Capital Global announced the appointment of Pankaj Vashisth as partner and global chief compliance officer.
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Blog
Corza Medical appoints compliance chief
Corza Medical announced the appointment of Jason Abair as its new vice president, legal & chief compliance officer.
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Blog
Verisma names general counsel
Health information solutions provider Verisma welcomed Becca Mix as general counsel.
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Blog
DNSFilter promotes GC to legal chief
Content filtering and threat protection service DNSFilter promoted its General Counsel Lauren Romer to chief legal officer.
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Blog
Cellares appoints general counsel
Cellares, a leader in cell therapy manufacturing, announced the leadership appointment of Jonathan Butler as general counsel and corporate secretary.
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Blog
Butterfield announces risk chief
The Bank of N.T. Butterfield & Son Limited announced the appointment of Andrew Burns to chief risk officer, Cayman Islands, effective Oct. 1.
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Blog
Waterfall Asset Management names GC, compliance chief as partner
Waterfall Asset Management announced that its Chief Operating Officer, General Counsel, and Chief Compliance Officer Kenneth Nick has become partner in the firm.
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Blog
Amherst appoints general counsel
The Amherst Group, a real estate investment, development and operating platform, announced the appointment of Peter Campbell as general counsel.
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Blog
Amcor announces first sustainability chief
Packaging solutions firm Amcor announced that David Clark, previously its vice president, sustainability, has been appointed to the new chief sustainability officer role.
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News BriefSEC charges Kubient 'gatekeepers' with failing to stop CEO's AI fraud
Gatekeepers including chief financial officers and the chair of the audit committee have a responsibility to shareholders to report fraud wherever they find it–especially when that fraud involves an artificial intelligence tool meant to combat fraud.
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News BriefSEC nets $1.3M in off-channel comms sweep against municipal advisory firms
Fines for off-channel communications use by employees just keep on coming, with 12 municipal advisory firms fined a total of $1.3 million in the latest Securities and Exchange Commission sweep.
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News BriefDOJ orders Walgreens to pay $107M for fraudulent claims caused by Rx ‘software error’
Walgreens agreed to pay nearly $107 million to resolve allegations, first brought by two whisteblowers, that it improperly billed federal healthcare programs for prescriptions that were never picked up or delivered.
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Premium‘Tick-box’ training leads to tragic outcome in Costa Coffee allergen case
Company training has always been equal parts important and annoying. But a recent inquest found some eLearning courses fail to warn companies when employees struggle through education and testing. For 13-year-old Hannah Jacobs, the consequences ended with her death.
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News BriefFINRA fines Wells Fargo unit $3M for repeatedly pushing ‘unsuitable’ investments
A Wells Fargo subsidiary will pay nearly $3 million to settle allegations that it failed to properly supervise an employee attempting to sell unsuitable investment products to retail investors–the fifth time it has been penalized for similar supervisory failings since 2020.
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WebcastCPE Webcast: Extra guac, extra insights: How to engage learners on a Chipotle burrito budget
When Chipotle began to strengthen their E&C program in 2020, they were met with a lot of resistance to traditional compliance training.
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PremiumChinese regulators impose six-month ban, $62M fine on PwC’s China unit
Chinese authorities banned PwC’s Chinese unit from performing audits in the country for six months, labeling the subsidiary’s flawed audit work as complicit in the failure of giant property developer Evergrande.