All Compliance Week articles in Web Issue – Page 37
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Blog
MDU Resources appoints Avista GC to board
MDU Resources Group announced that Marian Durkin, who was previously senior vice president, general counsel, secretary and chief compliance officer for Avista Corporation, has been appointed to the company’s board of directors.
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Blog
BRG Financial Institution Advisory practice names a former CCO as MD
Global expert services and consulting firm Berkeley Research Group announced that Michael Hollerich, who earlier served as chief compliance officer for two publicly traded financial services firms, has joined its financial institution advisory practice as a managing director.
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Blog
Columbia Climate School names first sustainability chief
Columbia Climate School has named Daniel Zarrilli as the university’s first chief climate & sustainability officer.
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Blog
CMR Surgical names legal chief
CMR Surgical announces the appointment of Markus Bauman as chief legal & business affairs officer.
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Blog
Aspen appoints group compliance head
Insurance firm Aspen announced that Peter Spires has joined as group head of compliance & deputy group general counsel.
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Blog
Alisa Bank announces general counsel
Alisa Bank appointed Katja Vähäsilta as general counsel and member of the management team, effective Oct. 1.
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Blog
Woodward appoints GC, compliance chief
Aerospace and industrial energy control solutions provider Woodward announced the appointment of Karrie Bem as executive vice president, general counsel, corporate secretary, and chief compliance officer, effective Sep 16.
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PremiumStrengthening BSA/AML defenses: Critical role of ERTs in modern day compliance
Enforcement actions in the first half of of 2024 by the Treasury Department’s Financial Crimes Enforcement Network highlight the importance of proactive measures in Bank Secrecy Act compliance rather than just being compliant.
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News BriefFed's new capital requirement latest fallout from 2023 banking failures
The Federal Reserve Board will require more than 30 of country’s largest banks to maintain a minimum percentage of capital in reserve, a percentage which the Fed calculated based on their complexity and whether they are considered a global systemically important bank.
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WebcastCPE Webcast: Mastering mobility risks for accelerated growth
Discover how cutting-edge mobile technologies are transforming the business landscape. A strong mobility strategy, paired with a top-tier compliance platform, is essential for scaling in today’s fast-paced environment.
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OpinionIan Sherr joins Compliance Week as its new editor-in-chief
New Compliance Week Editor-In-Chief Ian Sherr shares his thoughts on where compliance is headed as businesses meet the realities of not just following the rules, but staying ahead of the pace of regulatory change at a global scale.
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News BriefFinCEN finalizes AML rules for investment advisers, cash real estate transactions
The Treasury Department’s Financial Crimes Enforcement Network released new anti-money laundering requirements for U.S. investment advisers and real estate professionals that attempt to close loopholes that criminals and kleptocrats have long exploited.
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Blog
Wheels Up announces legal chief
Wheels Up Experience, an on-demand private aviation provider, announced that Matthew Knopf will be joining as chief legal officer and secretary, effective Sep. 9.
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News BriefRaymond James to pay $1.9M over failing to supervise mutual fund transactions
Raymond James & Associates and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority that it didn’t have an effective system to handle customer complaints, along with millions of direct mutual fund transactions not reasonably being supervised.
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Blog
Herring Global appoints compliance head
Herring Global, a digital asset trading and liquidity provision firm, announced that Benjamin Toh has joined as the head of compliance/MLRO.
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Blog
Patriot Battery Metals names Pilbara Minerals’ GC as executive vice president
Patriot Battery Metals announced that Alex Eastwood, one of the founding senior executives at Pilbara Minerals in the roles of general counsel, chief commercial and legal officer, and company secretary, will join as executive vice president–commercial.
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Blog
Konami Gaming names CCO
Konami Gaming announced that Lori Olk has been appointed senior vice president, regulatory compliance and chief compliance officer.
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Blog
Golden State Clean Energy announces GC
Golden State Clean Energy announced the hiring of Erica von Pechmann as general counsel.
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News BriefBank of America unit reaches $3M settlement with FINRA over surveillance lapses
A subsidiary of Bank of America agreed to pay $3 million and take remedial measures to resolve allegations that its surveillance system didn’t detect manipulative trading, the Financial Industry Regulatory Authority said.
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News BriefBCG avoids criminal prosecution for FCPA violations related to bribes in Angola
The Department of Justice declined to prosecute Boston Consulting Group for allegedly bribing Angolan officials in violation of the Foreign Corrupt Practices Act, citing the firm’s prompt self-disclosure and timely remediation.