All Compliance Week articles in Web Issue – Page 387
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Article
Swedbank faces scrutiny over money laundering allegations
Legal pressure against Stockholm-based Swedbank, one of several banks at the center of a massive money laundering scandal, continues to escalate.
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PodcastKate Murtagh on sustainable investment
Kate Murtagh, chief compliance officer at the Harvard Management Company, discusses the university’s three-pronged approach to sustainable investment with columnist Tom Fox.
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Article
A glimpse into the Department of Justice’s ethics and compliance operations
Deputy Attorney General Rod Rosenstein in public remarks this week provided a glimpse into how the Department of Justice conducts its own ethics and compliance operations.
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Article
Elevate appoints chief risk officer
Elevate Credit, a tech-enabled provider of innovative and responsible online credit solutions for non-prime consumers, has promoted Kathleen Vanderkolk to chief risk officer.
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Article
Duke Energy appoints new board member
Duke Energy’s board of directors has appointed Marya Rose to its board, effective March 1. She joins both the compensation committee and the regulatory policy and operations committee.
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Article
Diamondback Energy announces series of leadership changes
Diamondback Energy, an independent oil and natural gas company, recently announced a series of leadership appointments and promotions that took effect March 1, including the appointment of a new chief accounting officer.
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Article
Oceaneering International appoints new chief accounting officer
Oceaneering International has named Witland LeBlanc as chief accounting officer. He will succeed W. Cardon Gerner in the role, effective March 15.
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Article
FDIC General Counsel Charles Yi to leave the agency
Federal Deposit Insurance Corporation General Counsel Charles Yi announced he will be leaving the agency at the end of March.
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Article
Constellation Brands appoints chief compliance officer
Constellation Brands, an international producer and marketer of beer, wine, and spirits, has promoted Tiffanie De Liberty to senior vice president, general counsel, and chief compliance officer.
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Article
Publix general counsel to retire
Supermarket chain Publix announced that Senior Vice President, General Counsel and Secretary John Attaway will retire on May 31.
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Article
FSOC seeks changes to nonbank designation guidance
The FSOC has released proposed interpretive guidance regarding nonbank financial firm SIFI designations. It would implement an “activities-based approach” to identifying potential risks to financial stability and provide an “off-ramp” to designated firms.
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Article
Huawei sues U.S. gov. for ‘unconstitutional sales restrictions’
Controversial tech giant Huawei has filed a complaint in a U.S. federal court that challenges the constitutionality of government restrictions on its products.
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ArticleFINRA fines Cantor Fitzgerald $2M for Reg SHO violations, supervisory failures
The Financial Industry Regulatory Authority fined Cantor Fitzgerald $2 million for Regulation SHO violations and supervisory failures spanning a period of at least five years.
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Article
FBI creates new International Corruption Squad in Miami
Citing the success of its three other international corruption squads operating around the country, the Federal Bureau of Investigation has announced the creation of a fourth dedicated international corruption squad, this one based in its Miami Field Office.
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Article
MTS settles FCPA case with SEC, Department of Justice
Russian telecommunications provider Mobile TeleSystems (MTS) has reached settlements with both the Department of Justice and the Securities and Exchange Commission to resolve charges that it violated the Foreign Corrupt Practices Act to win business in Uzbekistan.
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ArticleU.K. gender pay gap reports rife with defects
A new report from U.K. organization paygaps.com says that compliance with gender pay regulations and guidance is still very weak.
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ArticleFTC proposes consumer data rule changes for financial institutions
The Federal Trade Commission is seeking public comment on proposed amendments to rules under the Gramm-Leach-Bliley Act that protect the privacy and security of customer information held by financial institutions.
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ArticleInternal audit still vexed by data, third-party risks
Internal audit is making strides in steering its focus and resources toward companies’ emerging risks—but there’s still some work to be done, the IIA says.
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ArticleFestivus, Fortnite, and the SEC’s relationship with institutional investors
SEC Commissioner Hester Peirce’s speech before the Council of Institutional Investors spring conference used two pop culture touchpoints as a means to clarify her relationship with the audience the group represents.