All Compliance Week articles in Web Issue – Page 690
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Governance, Risk, and Compliance Software - Maintain Your IT Budget with Consistent Compliance Practices
Governance, Risk, and Compliance (GRC) software can help state and local governments move from a reactive to a proactive stance with their IT systems. It lets them answer the question, "How long since your last…?" with a comforting "less than an hour ago." Read this third-party report to learn about ...
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Best Practices Guide for IT Governance & Compliance
Federal regulations, such as the Sarbanes-Oxley Act (SOX), the Health Insurance Portability Accountability Act (HIPAA), and the more recent Payment Card Industry (PCI) initiative, require businesses to know exactly what changes are being made to structured and unstructured data in their corporate networks. As a result, IT organizations need to ...
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SNC-Lavalin Names New Head of Legal and Compliance
SNC-Lavalin has appointed Hartland Paterson as general counsel, effective Sept. 10. He will report to President and CEO Robert Card. Paterson will oversee both the legal and ethics and compliance functions of the engineering and construction giant. More inside.
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United Online Names General Counsel
United Online, an online provider of consumer products and services, appointed Mark Harrington general counsel, effective this month.
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Patterson Companies Names General Counsel and Corporate Secretary
Patterson Companies has named Les Korsh as general counsel and secretary, a distributor serving the dental, production and companion animal health and rehabilitation supply markets.
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Report: No Bias Found in SEC Hearings So Far
A report from the SEC’s inspector general says he is looking into allegations of bias among administrative law judges in the SEC’s administrative proceedings, but has found no evidence so far to support those accusations. More inside.
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Ensuring Enterprise Visibility, Auditing, and Reporting for Windows Environments
Systems and security administrators must achieve and prove IT compliance and security, support active directory migrations, and report on the configuration of active directory, Windows file servers, and SQL servers across their enterprise. With a manual approach, these become Herculean, error-prone tasks that increase the risk of security breaches and ...
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Accellion Launches Governance Package for Kiteworks
Accellion, a provider of private cloud solutions for secure file sharing and collaboration that ensure data security and compliance, recently announced that it has added new security and governance capabilities to its kiteworks secure content platform. Accellion's kiteworks governance package is designed to assist enterprise organizations in demonstrating compliance with ...
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Soma Oil & Gas Faces Corruption Probe by SFO
The U.K. Serious Fraud Office recently announced that it has opened a criminal investigation into London-based Soma Oil & Gas Holdings relating to allegations of corruption in Somalia. Soma Oil & Gas confirmed that it has been informed by the agency of the investigation. More inside.
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Aviall Names Vice President of Compliance
Aviall, a wholly owned subsidiary of The Boeing Company, recently named Kim Stollar as general counsel and vice president of compliance. More inside.
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SciClone Could Pay SEC $12.8 Million in FCPA Case
SciClone Pharmaceuticals has disclosed in a quarterly report that it’s discussing a tentative $12.8 million settlement with the Securities and Exchange Commission to resolve an investigation of potential violations of the Foreign Corrupt Practices Act with respect to its China operations. Details inside.
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FTC Issues First-Ever Guidance on Unfair Competition
After more than 100 years, it has finally happend: the Federal Trade Commission has published guidance on what it considers “unfair” competition. The pronouncement is a welcome development for companies, as they now have at least some idea as to what activity could potentially result in a FTC investigation. More ...
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Wintrust Financial Names General Counsel and Corporate Secretary
Wintrust Financial, a financial holding company, has named Kathleen Boege general counsel and corporate secretary. She will assume these roles from Lisa Pattis, who will be leaving the company in September. Details inside.
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Edward Jones to Pay $20M for Overcharging Customers in Municipal Bond Sales
The Securities and Exchange Commission has charged brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that they overcharged customers in new municipal bonds sales. It’s the SEC’s first case against an underwriter for pricing-related fraud in the primary market for ...
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Malvern Federal Savings Bank Appoints Chief Risk Officer
Malvern Federal Savings Bank, the wholly owned subsidiary of Malvern Bancorp, announced the appointment of William Woolworth as chief risk officer. Prior to joining Malvern Federal, he served in the positions of director of enterprise risk management, chief auditor and chief compliance officer for Customers Bank. More inside.
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Companies Continue Shift Toward Restricted Stock Awards
Large public companies continue their shift away from stock options toward restricted stock in 2014, according the latest annual analysis by PwC of stock compensation assumptions and disclosures.
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Benchmark Report Shows Latest Trends in Training Programs
A new report conducted by NAVEX Global offers fresh benchmarking data for ethics and compliance officers looking to see how their training program, objectives, and challenges compare to their peers. Among the findings: employee cynicism and fear of retaliation for speaking up about misconduct are the top two challenges to ...