Compliance Week | News, Events & Thought Leadership for the …
WEB5 days ago · Sep 20, 2024By Jeff Dale. A “biblically responsible” investment adviser agreed to pay $300,000 and hire an independent compliance consultant to settle charges with the Securities and Exchange Commission that it misled investors, along with other compliance failures. For the well-informed Chief Compliance Officer and audit executive ...
Report: U.K. sanctions enforcement against Russia lacking since ...
WEBAug 28, 2024 · Sanctions imposed against Russia following the 2022 invasion of Ukraine are being undermined by the U.K.’s poor track record of enforcement, according to a report by campaign group Spotlight on Corruption.
Training | Governance, Risk & Compliance | Compliance Week
WEBOn-demand training: Everything you need to know about ESG but were afraid to ask. Take this self-directed, interactive course to deepen your understanding of the increasing importance of environmental, social, and corporate governance initiatives and how ESG planning processes can help manage risks and lead to better reporting outcomes.
AML - Compliance Week
WEBSep 13, 2024By Aaron Nicodemus. Compliance Week and its sister organization the International Compliance Association will bring together more than 200 GRC professionals for Compliance Week Europe Oct. 15-16 in Amsterdam to discuss how they’re making sense of the constantly changing regulatory landscape. Webcast.
The art of managing policy exception requests - Compliance Week
WEBFeb 25, 2013 · Exception requests are often a thorn in the side of policy managers, and yet they are unavoidable for most. An effective policy management process can ease the pain, which includes putting in place a “policy on policies” that describes a corporate policy, what it should include, and how policies get approved, reviewed, and trained upon, says Paul Liebman, a former in-house compliance and ...
OFAC sanctions entities providing electronic components for …
WEBJul 31, 2024 · Five individuals and seven entities in Iran, China, and Hong Kong have been targeted for U.S. sanctions by the Treasury Department’s Office of Foreign Assets Control (OFAC) for helping to obtain components used in Iran’s missles and drones.
Bank of America unit reaches $3M settlement with FINRA over ...
WEBAug 30, 2024 · A subsidiary of Bank of America (BofA) agreed to pay $3 million and take remedial measures to resolve allegations that its surveillance system didn’t detect manipulative trading, the Financial Industry Regulatory Authority (FINRA) said.
SEC fines Sound Point Capital $1.8M over policy failures
WEBBy Aaron Nicodemus Tue, Aug 27, 2024 10:06 AM. Investment adviser Sound Point Capital Management will pay a $1.8 million fine to the Securities and Exchange Commission for failing to have written compliance procedures on handling material nonpublic information (MNPI). New York City-based Sound Point failed to “establish, maintain, and enforce ...
Raytheon parent reserves $1.24B over improper payments, export …
WEBJul 26, 2024 · RTX Corp., the parent company of Raytheon, disclosed in a public filing it has reserved $1.24 billion to resolve legacy legal matters with the Department of Justice, Securities and Exchange Commission, and Department of State.
Excellence in Compliance Awards | Compliance Week
WEB2021 Excellence in Compliance Awards winners. CCO/CECO of the Year: Justin Ross, Chief Compliance Officer, FedEx Corp. Compliance Program of the Year: Tenneco Lifetime Achievement in Compliance: Emmanuel Lulin, Chief Ethics Officer, L’Oréal Compliance Innovator of the Year: Sarah Partington, Senior Compliance Officer/Director of Compliance Operations, The MetroHealth System