All Compliance Week articles in Web Issue – Page 7
View all stories from this issue.
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ArticleMy Compliance Library: ‘Crisis of Conscience’ explores whistleblower culture
The latest installment of My Compliance Library examines “Crisis of Conscience,” a wide-ranging look at whistleblowers and the toxic cultures that lead to their critical role in enacting change.
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OFAC designates new sanctions against Iran’s metals industry
Sanctions compliance officers should be on alert following several new sanctions designated by the Office of Foreign Assets Control against Iran’s largest steel, aluminum, copper, and iron manufacturers.
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NFL’s Redskins part with general counsel
The Washington Redskins of the National Football League announced they mutually parted ways with longtime general counsel and senior vice president of football operations Eric Schaffer.
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B. Riley Wealth Management tabs general counsel, CCO
B. Riley Wealth Management, a subsidiary of B. Riley Financial, announced the appointment of Michael Markunas as general counsel and chief compliance officer.
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Arvest Bank appoints chief compliance officer
Arvest Bank announced the promotion of Renee Huffaker to chief compliance officer. She assumes the role from Cara James, who was previously promoted to chief risk officer.
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Dodd, Frank challenge SEC’s Regulation Best Interest
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
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British retailer Dixons fined for pre-GDPR breach
The ICO has fined Dixons Carphone for failing to take “basic, commonplace” security measures that would have alerted it to one of the country’s worst cyber-attacks.
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Top DOJ compliance official resigns; rejoins Morgan Lewis
Matt Miner, former deputy assistant attorney general of the DOJ’s Criminal Division who played a prominent role in the development of a range of significant compliance policy initiatives, will rejoin Morgan Lewis as a partner, the law firm has announced.
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SEC seeks to improve governance of public market data streams
Continuing its emphasis on disclosing conflicts of interest and boosting Main Street investors, the SEC seeks public input on a proposed order to modernize the National Market System.
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Samsung establishes compliance oversight committee
Samsung Group has announced its intent to establish a corporate compliance oversight committee as the company seeks to clean up its tarnished reputation following a slew of scandals.
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Motiva adds general counsel
Motiva Enterprises, an oil and energy firm, announced the appointment of Amy Marlyse Plato as executive vice president, general counsel. Plato’s responsibilities include serving as corporate secretary and business compliance officer.
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BancorpSouth appoints chief risk officer
BancorpSouth Bank announced the appointment of Ty Lambert as its chief risk officer.
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Chartered IIA publishes new Internal Audit Code of Practice
The Chartered Institute of Internal Auditors announced the publication of new guidance intended to serve as an industry benchmark to improve the effectiveness of internal audit functions.
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FRC calls for better reporting to improve trust
U.K. regulator the Financial Reporting Council’s annual review shows many of Britain’s largest companies use a “tick-box” approach to compliance with the U.K. Corporate Governance Code—often providing scant explanations and little detail.
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FTC strengthens orders in data security cases
Chief compliance officers seeking more guidance from the Federal Trade Commission on how the agency has improved its orders in data security cases will find helpful a recent blog post by Andrew Smith, director of the Bureau of Consumer Protection.
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Fitch Ratings: ESG plays increasingly influential role on bank lending
Environmental, social, and governance factors are increasingly playing an influential role in the underwriting processes of global banks, according to a new report released by Fitch Ratings.
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‘Perennial’ risks comprise OCIE’s 2020 examination priorities
The SEC’s Office of Compliance Inspections and Examinations’ priorities in 2020 foster its risk-based approach and find room for both Main Street investors and innovation.
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White House proposes AI regulatory principles to limit government overreach
In sum, federal agencies should reject “rigid, design-based regulations” in favor of flexible approaches to artificial intelligence applications.
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Under Armour stealthily hires new accounting chief amid probes
Sports apparel company Under Armour made an under-the-radar executive change in November, hiring Aditya Maheshwari as chief accounting officer weeks after acknowledging a federal probe into its accounting practices.
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Chartered IIA names interim CEO
The Chartered Institute of Internal Auditors announced the appointment of John Wood as interim CEO.
