Search for: "OFFICE OF COMPLIANCE"
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1 Mar 2022, 10:00 pm
While you are thinking about your organization’s SMART objectives and other key priorities you’ve identified for your ethics and compliance team, consider adding in these recommendations. [read post]
1 Mar 2022, 10:00 pm
While you are thinking about your organization’s SMART objectives and other key priorities you’ve identified for your ethics and compliance team, consider adding in these recommendations. [read post]
7 Jan 2020, 9:20 am
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities. [read post]
20 Sep 2017, 3:42 pm
No one had a National Compliance Officer Day when I was in the job, but now it’s an official thing courtesy of SAI Global, a compliance consulting company. [read post]
13 Feb 2017, 4:58 am
The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations. [read post]
22 Feb 2024, 10:00 pm
The issue in this case related to the second and third defendants only (the auditor and the compliance officer). [read post]
1 May 2020, 8:27 am
More than complex, compliance programs can become burdensome and are too often quickly discarded to the dusty bookshelves of a back-office. [read post]
19 Jul 2013, 6:00 am
The SEC announced the schedule for its upcoming Compliance Outreach Program regional seminars in several cities around the country for investment adviser and investment company senior officers, including chief compliance officers (CCOs).The SEC's Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and Division of Enforcement's Asset Management Unit are jointly sponsoring the regional seminars for… [read post]
14 Apr 2022, 8:50 am
Government Accountability Office (GAO) released its audit of federal lobbying compliance for 2021. [read post]
2 Apr 2024, 6:38 am
Government Accountability Office (GAO) released its audit of federal lobbying compliance for 2023. [read post]
14 Feb 2009, 6:57 am
With my move from Goodwin Procter to be Chief Compliance Officer at a real estate company, I have been using a blog to keep my notes. [read post]
5 Jan 2022, 2:59 am
Amended Compliance Rule 2-7 – Branch Office Managers and Designated Security Futures Principals. [read post]
16 Sep 2010, 2:07 am
” Full speech Attorney General’s Office, 14th Setember 2010 Source: www.attorneygeneral.gov.uk [read post]
30 Nov 2015, 7:17 am
There are three areas that the SEC feels it is justified in bringing charges: (1) when the compliance officer is involved in the wrongdoing; (2) when the compliance officer impedes the examination or investigation; and (3) when the compliance officer is in wholesale failure. [read post]
24 Apr 2020, 6:00 am
Compliance personnel– especially, chief compliance officers– cannot ignore problems because, as one SEC ALJ determined, it will lead to censure and fines for ignoring compliance obligations. [read post]
1 Jun 2020, 11:08 am
GPB’s Chief Compliance Officer Indicted In October, 2019 GPB’s Chief Compliance Officer, Michael Cohn, was indicted on obstruction of justice charges related to the SEC’s investigation into GPB. [read post]
30 Jun 2023, 9:42 am
Steven Texeira Chief Compliance Officer for the U.S. division of China’s LianLian Global has been charged with insider trading for allegedly snooping for deal details on the laptop of his girlfriend, who was employed by an investment bank. [read post]
29 Oct 2014, 2:02 pm
JD as compliance officers is a very likely future as law schools respond to hiring market pressures and what corporate employers' need. [read post]
26 Feb 2012, 9:00 pm
In a post last week on his site, Corruption, Crime and Compliance, Mike Volkov named the Chief Compliance Officer (CCO) his “Person of the Year”. [read post]
28 Jul 2015, 11:59 am
Accordingly, and in an effort to offer some guidance, the United States Department of Health and Human Services’ Office of the Inspector General (“OIG”), the American Health Lawyers Association (“AHLA”), the Association of Healthcare Internal Auditors (“AHIA”), and the Health Care Compliance Association (“HCCA”) teamed up to publish an educational resource aimed at assisting lawyers, internal auditors, governing boards,… [read post]
