All Compliance Week articles in Web Issue – Page 9
View all stories from this issue.
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ArticleDocumentary: Roadtrip Nation, CAQ partner to explore auditing careers
Considering a career in auditing? A new documentary produced by Roadtrip Nation and supported by the Center for Audit Quality follows three individuals pursuing just such a career.
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Article
USBI to pay $16M for breaches of fiduciary duty
U.S. Bancorp Investments, a dually registered investment adviser and broker-dealer, has agreed to pay $16 million to settle SEC charges for breaches of fiduciary duty arising out of its mutual fund share-class selection practices.
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Article
Revised DOJ compliance guidance highlights risk, training, more
The Department of Justice posted new revisions to its “Evaluation of Corporate Compliance Programs” guidance, directing prosecutors to ask whether compliance is “adequately resourced and empowered to function” effectively, among other changes.
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Article
Analysis: When a bonus becomes less incentive, and more compromise
Financial crime expert Martin Woods explores what happens when the annual bonus causes employees to disregard their values for want of a dollar.
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Webcast
CPE Webcast: Regulatory & compliance readiness: The struggle is real
With multiple regulatory and compliance events happening and more on the horizon, companies of all sizes and complexity are having to quickly respond and adhere to new rules and requirements.
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Article
No stopping CCPA enforcement deadline, says California AG
With one month to go to the July 1 enforcement deadline of the California Consumer Privacy Act, it is still full speed ahead for Attorney General Xavier Becerra’s office.
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Resource
e-Book: FCPA at forefront of fight against corruption
You can’t hide from the Foreign Corrupt Practices Act, even if you are a powerful government regime. Just ask Venezuelan President Nicolás Maduro, who—along with others in his administration—were taken down in late March for violating certain provisions of the formidable anti-corruption law.
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Article
Wells Fargo appoints new risk leaders, enhances risk model
Still trying to polish its tarnished reputation, Wells Fargo announced the appointment of two new corporate risk leaders and an enhanced organizational structure “designed to provide greater oversight of all risk-taking activities.”
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Article
Investigation into EY’s audit of Danske Bank dropped
Denmark’s state prosecutor has dropped its investigation into whether Big Four firm EY violated anti-money laundering laws in connection with its audit of Danske Bank.
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Event
Compliance Week 2020: Available On-Demand
You can still experience our first-ever virtual conference, with sessions recorded May 18-19. Click the link to gain access to all sessions and resources, and check out our editorial coverage from the event below.
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Article
Analysis: VW ‘deliberately immoral’ ruling pushes governance lessons
A look at a recent court case against car manufacturer Volkswagen once again places the company in the spotlight but, perhaps more importantly, offers some lessons in how to live up to shareholder expectations of good governance that protects their investment.
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Article
Airbnb ethics chief departs
Airbnb Chief Ethics Officer Rob Chesnut announced his departure from the lodging marketplace giant after four years with the company.
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Article
Paine Schwartz names chief compliance officer
Paine Schwartz Partners, a leader in sustainable food chain investing, announced Renata Malavazzi has joined the firm as general counsel and chief compliance officer.
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Article
ON Semiconductor brings back former chief accounting officer
ON Semiconductor announced the appointment of Bernard Colpitts Jr. as chief accounting officer. Colpitts returns to the manufacturer after departing in late 2019 to serve as chief accounting officer at GameStop.
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Article
Sony/ATV promotes general counsel
Sony/ATV Music Publishing announced the promotion of Peter Brodsky to general counsel and executive vice president, business affairs.
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Article
University of Colorado welcomes general counsel
The University of Colorado named José Padilla vice president, general counsel and secretary of the board of regents.
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Article
Arion Bank appoints chief risk officer
Iceland-based Arion Bank announced the appointment of Úlfar Freyr Stefánsson as chief risk officer. He assumes the position from Gísli Óttarsson, who will be leaving the bank after serving in the role since 2009.
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Article
Contis tabs general counsel, risk chief
FinTech payments services firm Contis announced the appointment of Lara Oyesanya as its first general counsel and chief risk officer.
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Article
Podcast: Tools for leading during a crisis—stinking thinking
Performance coach and former rally car champion Penny Mallory explains how to expel negative thoughts and the value of optimism as part of her emotional intelligence podcast series.
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Article
SEC changes M&A rules for first time in 30 years
SEC Chair Jay Clayton says recent updates to M A rules will enhance investor information and slash unnecessary costs, but critics argue the changes limit investor transparency and better serve larger corporations.
