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Entries in Compliance Officer (16)


UK fines compliance officer for his firm’s bad advice

The Financial Conduct Authority penalized a compliance officer Friday for allowing customers of the wealth management firms he worked for to receive wrong advice about their pensions.

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Former Goldman Sachs compliance techie settles SEC insider trading charges

A former Goldman Sachs Group Inc. compliance employee settled an SEC complaint Wednesday that accused him of using confidential data from emails for trades in at least four takeover targets.

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Compliance officer shortage hurts Singapore banks

Along with New York, London, and Hong Kong, Singapore now ranks as one of the world's most important financial centers. And to protect its new-found status, the tiny Southeast Asia country has cracked down hard on money laundering.

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Former MoneyGram compliance chief penalized $1 million for ‘willful inaction’

The Treasury Department's Financial Crimes Enforcement Network (FinCEN) imposed a $1 million civil penalty against the former chief compliance officer for MoneyGram International Inc.

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Surprise! Compliance has growing role in business decisions

A new survey of general counsels and compliance officers found that 30% of companies in North America, Europe, and Asia stopped doing business with a partner because of corruption risks.

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Compliance officers stand alone, but not apart

The correspondent wrote:

“In my job for the University, I am often alone in my efforts to convince the management and trustees of the system of the need for a comprehensive compliance initiative.

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To the Rising Middle Class of Guanajuato, Mexico – and its compliance officers

The front page of the New York Times featured a long article this week about the new middle class life you are creating in Guanajuato based on employment by multinationals and investment in education. Your success is something to be celebrated.

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In Wal-Mart case, feds can protect compliance officers. But will they?

The SEC’s new Chair, Mary Jo White, made headlines last week by letting compliance officers know how important their role is to their organizations and to the SEC.

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‘Misconduct is an outlier in an ethical culture’

The SEC's associate director of enforcement, Stephen L. Cohen, left, had some great things to say when he spoke this week at the SCCE Annual Conference in Washington D.C.

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Who's ready to take the Compliance Officer Support Pledge?

If you're a non-American compliance officer working in the hazardous, lawless conditions of many countries, it's not clear what can be done. But this much is certain -- COs working to create a code in China or India and so many other places need to know they have global support from compliance officers everywhere.

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Compliance officers can only succeed together

Michael Scher's post, The real code of conduct nobody mentions, brought this to mind.

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How do compliance officers vote with their feet?

When a compliance officer needs to vote with his feet, the key ingredients to look for at the next job are, among other things, a chief compliance officer who reports to an independent board, and incentives or bonus pay for outstanding work.

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