All Compliance Week articles in Web Issue – Page 371
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Article
Treasury issues Finding of Violation to State Street subsidiary
The U.S. Treasury Department has found that State Street Bank and Trust violated Iranian Transactions and Sanctions Regulations.
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ArticleReps urge White House to support blockchain
Bipartisan members of Congress are urging the Trump administration to throw its tech focus onto blockchain.
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ArticleU.S., U.K. launch Financial Innovation Partnership
A newly formalized partnership between the United States and United Kingdom aims to embolden innovation in financial services.
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Article
Braskem board approves $101M leniency agreement
Braskem has approved a 410 million reais (U.S. $101 million) leniency agreement with authorities for concealing its role in a bribery scheme involving Petrobras.
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ArticleOne year in, no fines yet from U.K. regulator on GDPR
A Freedom of Information Act request shows Britain’s data protection watchdog has imposed just 29 financial penalties in the last year, none of which came under the EU’s General Data Protection Regulation.
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ArticleSEC awards whistleblower $4.5M in landmark case
For the first time ever, the Securities and Exchange Commission has awarded a whistleblower whose internal reporting led to a successful SEC case and related action.
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ArticleSEC to hold roundtable on public marketplace
Coming this summer: An SEC roundtable for the public and SEC staff to discuss short-term and long-term management, the periodic reporting system, and SEC regulations.
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Article
Commerce unveils new attack on ‘currency manipulation’
The Department of Commerce has issued a notice of proposed rulemaking to impose countervailing duties on countries that act to undervalue their currency relative to the dollar.
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ArticleNordic and Baltic regulators join to combat money laundering
Regulators in eight Nordic and Baltic countries are developing a joint effort to exchange information with regard to fighting money laundering.
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ArticleFSB continues push for Legal Entity Identifiers
The United States is among the laggards when it comes to international identifying codes for financial entities.
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ArticleCompanies prioritize director experience
New research from the Conference Board says that despite a desire for diverse skillsets, companies continue to value prior board experience in their director selection.
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Article
Lloyd’s culture survey aims to change workplace
Specialist insurance market Lloyd’s has initiated a confidential survey to help detect and ultimately root out a legacy of drunken and misogynistic behavior at the company.
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Resource10 Tips to Managing Social Media Compliance
The financial services industry faces many regulations on how to engage on social media, including communication and retention rules from FINRA, SEC, FCA, IIROC, and others.
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Article
Ireland investigates Google over GDPR
The Irish Data Protection Commission is investigating whether Google’s online Ad Exchange violated General Data Protection Regulation provisions.
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Article
Faraday Grid appoints general counsel
Global energy technology company Faraday Grid appointed Nathan Fagre as general counsel.
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Article
Gulfport Energy appoints general counsel
Gulfport Energy named Patrick Craine as general counsel and corporate secretary.
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Article
EXL appoints chief compliance and ethics officer
IT service management company EXL appointed Sonila Pokharia as chief compliance and ethics officer.
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ResourceInsights on whistleblowers and internal reporting
Doing the right thing in the face of adversity isn’t always easy, but there’s no question whistleblowing is the ethical choice, whether it be via internal channels or straight to the Securities and Exchange Commission.
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ArticleU.K.’s Pensions Regulator getting serious about enforcement
Considered “feeble” no more, the United Kingdom’s Pensions Regulator is ramping up enforcement actions against individuals or organizations not in compliance with the law.
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ArticlePhotos: Compliance Week 2019
Inspiring keynotes, in-depth discussions, networking opportunities, Top Minds awards, and more highlight the sights from Compliance Week’s annual conference in Washington D.C.