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Browse: Home / Compliance

Compliance

SEC Enforcement Director Urges Market Participants to Practice “Proactive Compliance” | Cadwalader Cabinet

By Securities Docket on October 12, 2021, 12:24 pm

New SEC Division of Enforcement Director Gurbir Grewal urged firms to focus on “proactive compliance” to ensure that they are continually tailoring their compliance strategies to evolving technologies and regulations. In his first speech as Director, Mr. Grewal cautioned firms against the assumption that if “regulators are particularly focused on issues ‘X’ or ‘Y’ in […]

Posted in SEC, Top | Tagged Compliance

Crypto Firms Beef Up Compliance Hiring as Regulatory Scrutiny Mounts – WSJ

By Securities Docket on September 30, 2021, 7:59 am

Cryptocurrency companies are ramping up hiring in their compliance departments as they come under increasing regulatory scrutiny in the U.S. and world-wide. Hamlyn Williams Inc., a global recruiter that focuses on regulated industries, said it has conducted 18 chief-compliance-officer searches for financial technology and cryptocurrency businesses in 2021, up from seven searches for all of […]

Posted in Industry, People, Top | Tagged Compliance

Sept. 15 Webcast: The Current Compliance Landscape in Brazil--What You Need to Know About New Forms of Fraud, Corruption and Other Crimes

Sept. 15 Webcast: The Current Compliance Landscape in Brazil–What You Need to Know About New Forms of Fraud, Corruption and Other Crimes

By Securities Docket on August 5, 2021, 10:40 am

Please join Iris Bennett, Carlos Ayres and Steven Neuman for this free webcast.

Posted in Global, Industry, Top | Tagged Brazil, Compliance, Webcasts

Citi Hires FinCEN’s Blanco as Financial Crimes Compliance Chief – BNN Bloomberg

By Securities Docket on April 2, 2021, 7:08 pm

Citigroup Inc. hired Ken Blanco, the director of the Financial Crimes Enforcement Network, as its chief compliance officer of its newly created financial crimes unit. Blanco worked on combating financial crimes and enforcing regulations on money laundering and terrorism financing at FinCEN, a bureau in the Department of Treasury. Before that, he spent 29 years […]

Posted in Industry, People, Top | Tagged Citigroup, Compliance

At Large: The cobra effect is an enemy of compliance | The FCPA Blog

By Securities Docket on August 13, 2020, 9:25 am

Getting what you pay for but not what you hope for is also known as the cobra effect. During colonial rule in India, British officials came up with a plan to reduce the number of dangerous cobras in Delhi. They offered a bounty for every dead snake. Over time, more and more dead cobras were […]

Posted in Industry, Top | Tagged Compliance

June 25 Webcast: COVID-19 Pandemic-Related Compliance, Financial Reporting & SEC Enforcement Considerations

June 25 Webcast: COVID-19 Pandemic-Related Compliance, Financial Reporting & SEC Enforcement Considerations

By Securities Docket on June 10, 2020, 1:27 pm

Please join Marion Duffy, Keith Halverstam, Alok Khare, Ryan Maierson, Rob Malionek, and Todd Rahn for this free webcast.

Posted in Industry, SEC, Top | Tagged Compliance, COVID-19, Webcasts

At Large: Is this the most important change in the DOJ’s new guidance? | The FCPA Blog

By Securities Docket on June 5, 2020, 9:01 am

The DOJ’s new guidance for evaluating corporate compliance programs put the spotlight on organizational justice, or what we might simply call fairness. This question was added to Monday’s version of the guidance: “Does the compliance function monitor its investigations and resulting discipline to ensure consistency?” That new question appears under the heading “Consistent Application.” That […]

Posted in Criminal, Top | Tagged Compliance

What Hath Covid-19 Wrought? A New Skill Set Required for Compliance: Part 1 – Compliance ReportCompliance Report

By Securities Docket on May 27, 2020, 8:13 am

The Coronavirus health crisis has wrought many changes in the business world and corporate compliance. Over the next few blog posts, I want to explore in some depth what I see are the key changes for the Chief Compliance Officer (CCO), compliance professional and compliance programs as we move to reopening the country and world […]

Posted in Industry, Top | Tagged Compliance, COVID-19

$475M Lawsuit Alleges Danske Bank’s Inaction Created ‘Enormous Scandal’ | Corporate Counsel

By Securities Docket on March 20, 2019, 9:42 am

At the heart of a $475 million lawsuit that investors in 19 countries have brought against Denmark’s largest bank is a lesson for legal departments regarding the importance of compliance and disclosure. “You need to take regulatory compliance very seriously and when you do have problems don’t cover it up. That will only turn it into […]

Posted in Industry, Top | Tagged Compliance

Speech: ‘Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals

By Securities Docket on November 16, 2018, 1:24 pm

Some people believe that a formal enforcement action is the obvious response to every compliance infraction. In my view, a better approach is to build certain norms into the industry that foster compliance. Hitting someone over the head with a criminal conviction is a sure way to scare all trick-or-treaters, even those not breaking the […]

Posted in SEC, Top | Tagged Compliance, Speeches

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