All Compliance Week articles in Web Issue – Page 73
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Blog
Cineworld Group announces general counsel
Theater company Cineworld Group announced the appointment of John Henrich as general counsel.
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Blog
Moon Valley Nurseries names general counsel
Tree and plant nursery Moon Valley Nurseries announced the appointment of Michael Minnaugh to general counsel.
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Blog
Inspired Entertainment appoints general counsel
Inspired Entertainment, a business-to-business provider of gaming content, announced the appointment of Simona Camilleri as general counsel.
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Blog
Carl Marks Securities announces chief compliance officer
Broker-dealer Carl Marks Securities announced the appointment of Jon Roberts as chief compliance officer.
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Blog
Fortifi welcomes general counsel, chief compliance officer
Fortifi Food Processing Solutions appointed Robert Gibson as general counsel, chief compliance officer, and environmental health and safety lead.
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News BriefDOL orders Tuff Torq to pay $1.8M over child labor violations
The Department of Labor ordered Tennessee-based Tuff Torq Corp. to pay nearly $1.8 million over alleged child labor violations.
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News BriefFINRA orders Stifel units to pay $2.3M for repeat compliance failures
Two subsidiaries of Stifel Financial Corp. agreed to pay a collective total of about $2.3 million over alleged violations of Financial Industry Regulatory Authority rules regarding nontraditional exchange-traded products.
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PremiumNAVEX whistleblower report finds third parties lead on business integrity
A new report on corporate whistleblowing and hotline trends in 2023 found reporting volume at an all-time high, with key disparities uncovered between reports filed by third parties and those filed by employees.
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PremiumBig Tech practices draw early scrutiny under DSA, DMA
TikTok and X are under investigation related to their respective compliance with the European Union’s Digital Services Act, while the first three companies probed under the Digital Markets Act include Apple, Alphabet, and Meta.
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Blog
Abnormal Security appoints chief legal officer
Email security platform Abnormal Security announced Jeff True joined as chief legal officer.
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Blog
DiamondRock Hospitality Company general counsel to retire
Real estate investment trust DiamondRock Hospitality Company announced Bill Tennis, its longtime executive vice president and general counsel, will retire.
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Blog
TradeXBank AG appoints chief risk officer
Switzerland-based TradeXBank AG announced the appointment of Viviane Gabard as chief risk officer.
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Blog
University of Washington restructures offices under CCO
The University of Washington promoted Jane Yung, who served as executive compliance and risk officer, to vice president and chief compliance and risk officer.
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Blog
John Deere adds chief legal officer
Deere & Company, a manufacturer of agricultural, construction, and forestry equipment, announced Kellye Walker will join its leadership team as senior vice president, chief legal officer and worldwide public affairs.
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PremiumOCC’s Hsu: ‘Sense of fairness’ key to bank compliance initiatives
Acting Comptroller of the Currency Michael Hsu argued banks should adopt a “strong sense of fairness” to bolster the effectiveness of their compliance programs, particularly regarding lending decisions guided by AI and machine learning tools.
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News BriefU.S. BOI efforts earn it upgraded rating from FATF
The United States’s progress on implementing the beneficial ownership information reporting requirements contained within the Corporate Transparency Act earned it praise from the intergovernmental Financial Action Task Force.
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PremiumEU regs for energy-efficient buildings raise questions for commercial property
Organizations with property in the European Union should be asking more questions about their sustainability and emissions in light of revised plans to decarbonize buildings across the region.
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News Brief
Advisor Resource Council to pay $300K over compliance lapses
Advisor Resource Council agreed to pay a $300,000 penalty to resolve charges levied by the Securities and Exchange Commission of compliance failures exacerbated by staffing woes.
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News BriefEquinix probing short seller accusations amid DOJ scrutiny
Data center owner Equinix disclosed it launched an independent investigation to review matters referenced in a recent short seller report that also caught the attention of the Department of Justice.
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PremiumICO primed for enforcement increase behind new fining guidance?
The Information Commissioner’s Office updated its data protection fining guidance to provide companies with greater transparency and clarity about how and why it would issue penalties for a breach of the U.K. General Data Protection Regulation or Data Protection Act 2018.