All Compliance Week articles in Web Issue – Page 513
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Article
Compliance remedies for new sanction headaches
Compliance officers will want to reevaluate their trade sanction compliance policies, following new sanctions legislation signed into law this month.
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Article
Executing a sound GDPR data management strategy
If companies understand just one message between now and when the EU’s GDPR comes into force next year, that message is simply this: Clean up your data.
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Blog
OCC issues higher-loan-to-value lending guidance
The Office of the Comptroller of the Currency has released new guidance intended “to spur community revitalization" with the prudent and appropriate use of higher-loan-to-value lending.
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Blog
Scam and money laundering puts former Wells Fargo manager in jail
A former Wells Frago bank manager is headed to jail for his role in a $1.66 million mass mailing scam that was facilitated with a money laundering scheme.
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Blog
Medical device CEO convicted of $750 million securities fraud
A federal jury has convicted the former chief executive officer of a publicly traded medical device compan for his role in orchestrating a fraud scheme that led to $750 million in shareholder losses.
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Blog
Mylan will pay $465 million to resolve False Claims Act liability
Mylan, maker of the EpiPen, has agreed to pay $465 million to settle Department of Justice allegations that it violated the False Claims Act by misclassifying the epinephrine injector as a generic drug to avoid paying Medicaid rebates.
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Blog
Hedge fund adviser charged with inadequate insider trading controls
A hedge fund advisory firm has agreed to pay more than $4.6 million to settle SEC charges that it had inadequate policies and procedures to prevent the misuse of inside information, including information about confidential government decisions.
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Blog
NLRB compliance officer fabricated victims, stole from compensation fund
A former NLRB compliance officer pleaded guilty this week to charges he stole more than $400,000 from an agency fund he oversaw that was intended to distribute funds to employees victimized by labor law violations.
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Blog
New study shows more audit committee disclosure
A recent study of Fortune 100 proxy materials shows audit committees continue to voluntarily explain their oversight of the external audit.
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Article
U.K. considering proposals to enforce better cyber-security
As the U.K. tries to get businesses to protect themselves better against cyber-risk, recently proposed rules all have significant compliance implications.
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Article
Another delay in fiduciary rule could result in substantial revision
The Labor Dept. wants a substantial delay for remaining compliance milestones in its fiduciary rule. What happens in the interim?
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Blog
The Lakers, KPMG, and Shkreli
In case you missed it this week, the LA Lakers are under fire for potential tampering, KPMG coughs up $6m to the SEC, and pharma-bro Shkreli is having a rough time finding anyone who doesn’t hate him.
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Blog
Another CCO settles with SEC over negligence of duties
The SEC has announced another settlement with a former CCO over alleged negligence. The settlement, reached on Aug. 15 also offers a caution about retaining third party compliance services.
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Blog
Signals and virtue
As business leaders publicly resign from Presidential economic committees in light of President Trump’s Charlottesville comments, “tone from the top” matters now more than ever.
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Resource
Workplace Harassment Benchmarking Report
Title: Workplace Harassment BenchmarkWith more than 2 million employees across the globe who have completed Pulse training, you can benchmark your risk trends on a variety of compliance topics. See how Pulse Analytics can equip you with behavioral analytics to benchmark and analyze the effectiveness of your training program in ...
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Blog
Teza Capital Management names chief risk officer
Teza Capital Management, a quantitative asset management firm, has named Reinhold Gebert as chief risk officer, as well as chief operating officer.
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Article
Get your bad-boy groove back
Acceptance at the upper levels of a company is great for integrating compliance with business development and strategy. But don’t lock up the “Department of No” just yet.
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Blog
La-Z-Boy appoints new chief accounting officer
Furniture company La-Z-Boy has appointed Lindsay Barnes as chief accounting officer. She replaces Margaret Mueller who has resigned.
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Blog
Rackspace launches new privacy and data protection offering
Rackspace this week announced the launch of Privacy and Data Protection (PDP), a new cyber-security offering designed to help identify and protect sensitive data in a customer’s environment.
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Blog
Vantage Drilling: Justice Department ends FCPA probe
Vantage Drilling Company, an offshore drilling contractor, announced this week that it will not be facing an enforcement action from the Department of Justice regarding a previously disclosed investigation into potential violations of the Foreign Corrupt Practices Act.