All Compliance Week articles in Web Issue – Page 86
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News BriefGoldman Sachs fined $513K by FINRA over faulty surveillance reports
The Financial Industry Regulatory Authority fined Goldman Sachs $512,500 for allegedly failing to properly surveil certain types of securities for potential manipulative trading activity for more than a decade.
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PremiumExamining precedent set by French DPA’s Amazon employee monitoring fine
The decision by France’s data regulator to fine an Amazon warehouse manager for breaches of the General Data Protection Regulation over the way it monitored employee productivity raises questions about the reach data protection authorities have over corporate conduct.
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News BriefAlphabet to pay shareholders $350M over Google+ privacy lapses
Alphabet, the parent company of technology giant Google, agreed to pay $350 million in a preliminary settlement with shareholders over alleged data privacy violations and materially false and misleading statements linked to now-defunct social media site Google+.
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Blog
Ramaco appoints general counsel
Metallurgical coal producer Ramaco Resources announced it hired Evan Jenkins as its new general counsel.
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Blog
Smithfield Foods announces chief ethics and compliance officer
Smithfield Foods named Allyson Bouldon as chief ethics and compliance officer.
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Blog
MSG Entertainment to add Bumble CCO as general counsel
Madison Square Garden Entertainment and Sphere Entertainment announced Laura Franco was named executive vice president and general counsel for both companies.
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Blog
Clear Channel adds Legion Partners compliance chief to board
Out-of-home advertising company Clear Channel Outdoor Holdings announced the appointment of Ted White, co-founder and chief compliance officer of Legion Partners Asset Management, to its board of directors.
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PremiumCompliance with growing number of U.S. privacy laws ‘a matter of culture change’
Different deadlines associated with the 13 U.S. state privacy laws currently on the books, including grace periods and enforcement dates, have proven challenging for compliance, experts discussed at CW’s Cyber Risk & Data Privacy Summit.
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Blog
Neiman Marcus ups CCO to chief legal officer
Luxury retailer Neiman Marcus Group announced the appointment of Chief Compliance Officer Tom Mattei as chief legal officer and corporate secretary.
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News BriefChina-based Cloopen Group avoids fine in SEC accounting fraud case
China-based technology company Cloopen Group Holding won’t pay a fine in settling with the Securities and Exchange Commission over an alleged accounting fraud scheme perpetrated by two of its former senior managers.
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PremiumExperts: Good data breach response grounded in preparation
Two chief compliance officers and an attorney discussed preparation for the “when, not if” threat of a data breach during a panel at CW’s Cyber Risk & Data Privacy Summit.
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WebcastCPE Webcast: Crafting policies for digital dialogue
This webinar will shed light on the critical need for heightened awareness regarding business communications in the financial sector.
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Blog
Oliver Wyman adds ex-BNY Mellon CECO as partner
Global management consultancy Oliver Wyman announced Emma Bredin, the former chief compliance and ethics officer at BNY Mellon, will join the firm as a partner in its finance and risk practice and become head of the regulatory compliance practice for the Americas.
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Blog
Cavco appoints chief compliance officer, general counsel
Manufactured homes company Cavco Industries announced Seth Schuknecht was appointed executive vice president, general counsel, corporate secretary, and chief compliance officer.
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News BriefWestpac ordered to pay $1.2M in insider trading case
Westpac Banking Corp. was assessed a maximum fine of AUS$1.8 million (U.S. $1.2 million) to address charges levied by the Australian Securities and Investments Commission of insider trading related to an interest rate swap transaction.
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News BriefClorox discloses $49M hit from cyberattack
Cleaning products company Clorox disclosed the major cybersecurity incident that led to a shutdown of its automated order processing late last year has cost it about $49 million.
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News BriefPaytm denies money laundering claims amid regulatory scrutiny
The Reserve Bank of India ordered a halt to many banking activities of digital payments provider Paytm while the regulator investigates “persistent noncompliances and continued material supervisory concerns.”
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News BriefUber facing $11M fine over driver privacy rights violations
Ride-hailing company Uber Technologies was assessed a penalty of €10 million (U.S. $11 million) by the Dutch Data Protection Authority for alleged privacy rights violations regarding the handling of European drivers’ personal data.
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Blog
Acadia Pharmaceuticals announces chief legal officer
Acadia Pharmaceuticals announced Jennifer Rhodes is joining the company as executive vice president, chief legal officer and secretary.
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Blog
Vitro Biopharma adds Crown Resorts legal, compliance chief to board
Biotechnology company Vitro Biopharma announced the appointment of Anthony Pearl, the chief legal and compliance officer of Australian gaming and entertainment group Crown Resorts, as an independent director to its board.