All Compliance Week articles in Web Issue – Page 68
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News Brief
SEC risk alert warns investment advisers of marketing rule missteps
Examiners with the Securities and Exchange Commission found investment advisory firms have generally done well creating processes to comply with the agency’s amended marketing rule but some have fallen short in ensuring compliance.
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PremiumIntersection of compliance, IT one of opportunity
With senior-level decisions on technology only increasing in frequency as new tools rapidly evolve, a panel at Compliance Week’s 2024 National Conference agreed compliance must consider the opportunities available to influence those conversations.
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Blog
Moors and Cabot announces chief compliance officer
Investment wealth advisory firm Moors and Cabot announced the promotion of Katherine Kelliher to senior vice president, chief compliance officer.
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Blog
Borderless AI appoints ex-Visa, PayPal CCO to board
Payroll solution startup Borderless AI appointed Leonard Shen, the former chief compliance officer at Visa and PayPal, to its board of advisors.
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Blog
Financial Gravity names chief compliance officer
Financial services solutions provider Financial Gravity Companies welcomed Kaili Winters as chief compliance officer and strategy implementation lead.
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Blog
Binance.US names ex-New York Fed compliance chief to board
Cryptocurrency platform Binance.US announced the appointment of Martin Grant, former chief compliance and ethics officer at the Federal Reserve Bank of New York, to its board of directors for BAM Management US Holdings.
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WebcastCPE Webcast: Mitigating risk: Strengthening control and compliance
Today’s compliance professionals face increasing pressures from talent shortages, a rapidly evolving regulatory landscape, and rising transaction volumes—increasing both complexity and risk.
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News BriefCFPB rule streamlines nonbank supervision designation process
The Consumer Financial Protection Bureau continued its push to establish supervisory authority over more nonbank financial companies with the adoption of a procedural rule to streamline the process for such designations.
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News BriefDOJ pilot floats NPAs for whistleblowers involved in corporate misconduct
The Department of Justice launched a new pilot program that encourages voluntary self-disclosure by corporate executives who are themselves involved in financial misconduct, with the incentive of a nonprosecution agreement for those who help an agency investigation.
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News BriefU.S. senator calls for Temu ban over forced labor, privacy concerns
Sen. Tom Cotton (R-Ark.) is calling on the Biden administration to investigate and ban Chinese e-commerce company Temu over forced labor and data privacy violation concerns.
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PremiumFocused on consumer privacy? Don’t forget employees’ rights
The implications of a privacy rights case involving a U.K.-based Uber Eats driver underscore a popular belief that companies prioritize protecting the personal information of their customers over the data rights of their employees.
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Blog
Soil Health Institute names CHS sustainability chief to board
The Soil Health Institute announced the appointment of Megan Rock, chief sustainability officer at agriculture company CHS, to the nonprofit’s board of directors.
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Blog
Kraton’s general counsel adds chief sustainability officer title
Kraton Corp., a producer of specialty polymers and products derived from renewable resources, announced the appointment of Rogier Roelen as chief sustainability officer, in addition to his existing role as vice president, general counsel.
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Blog
Garmin names general counsel
Wearable technology company Garmin announced Josh Maxfield will assume the role of vice president, general counsel and assistant secretary.
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Blog
Aveanna Healthcare Holdings appoints legal chief
Aveanna Healthcare Holdings announced the appointment of Jerry Perchik as chief legal officer and secretary.
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Blog
Ecopetrol taps temporary compliance VP
Colombia-based oil company Ecopetrol announced Alberto Vergara Monterrosa will temporarily take over as corporate vice president of compliance and compliance officer.
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News BriefProterial Cable America earns DOJ declination in apparent fraud case
Proterial Cable America received a declination notice from the Department of Justice related to its voluntary self-disclosure and remediation of apparent fraud committed by its employees.
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PremiumSEC’s Grewal: General compliance principles for avoiding AI washing
Gurbir Grewal, director of the Securities and Exchange Commission’s Division of Enforcement, laid out general principles for “proactive compliance” to avoid making false or misleading claims about the capabilities of artificial intelligence products and services.
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News BriefFinCEN warns of fake U.S. passport cards used to commit fraud
The Financial Crimes Enforcement Network is warning financial institutions of counterfeit U.S. passport cards used to commit fraud and identity theft.
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Blog
Patriot National Bancorp names acting risk, compliance chief
Patriot National Bancorp disclosed Joshua Oliver will be acting chief risk and compliance officer upon the resignation of Judith Corprew.