GRC Conferences, Seminars & Events - Compliance Week
Compliance Week National April 28-30 | Washington, D.C. Back for it's 20th year, join 500+ compliance, ethics, legal, and audit professionals who gather to benchmark best practices and gain the latest tactics and strategies to enhance their compliance programs.
FINRA fines Merrill Lynch, BofA Securities $2.3M for reporting ...
Oct 1, 2024 · The Financial Industry Regulatory Authority (FINRA) issued two separate fines against Merrill Lynch and BofA Securities totaling nearly $2.3 million for reporting violations and failing to timely file amendments on registration forms for their registered representatives.
Good AI governance starts with proactive, continuous risk …
Nov 21, 2024 · Data governance has become a key concern for companies, especially when the EU AI Act and General Data Protection Regulation have put a premium on handling data responsibly and ensuring that artificial intelligence does not cause harm.
TD Bank fined nearly $3.1B by U.S. regulators for AML compliance ...
Oct 11, 2024 · TD Bank will pay nearly $3.1 billion in penalties to four U.S. regulators to settle charges that it “chose profits over compliance” when it allowed three money laundering networks to filter more than $670 million in dirty money through the company.
All accounting fraud articles - Compliance Week
Jun 6, 2023 · Article PwC fined $2.1M for audit failures regarding BT Group fraud disclosures. 2022-08-08T15:28:00Z. PwC will pay a reduced fine of 1.75 million pounds (U.S. $2.1 million) as part of sanctions against the Big Four firm for failures in its fiscal year 2017 audit at BT Group after the U.K. telecommunications company adjusted its …
DOJ offers antitrust compliance guidance in ECCP update
Nov 25, 2024 · The Department of Justice (DOJ) has added antitrust compliance guidance in an update to its Evaluation of Corporate Compliance Programs (ECCP).
AML - Compliance Week
News Brief OCC orders Bank of America to shore up BSA/AML, sanctions compliance programs. 2024-12-23T19:08:00+00:00 By Jeff Dale. Bank of America avoided a monetary penalty in agreeing to settle charges with the Treasury Department’s Office of the Comptroller of the Currency but was ordered to shore up previously disclosed deficiencies in its Bank Secrecy Act/anti-money laundering (BSA/AML ...
FinCEN, OFAC sanction crypto platforms linked to Russia, cybercrime
Sep 27, 2024 · U.S. and European law enforcement agencies have announced sanctions against two Russia-linked cryptocurrency platforms in their ongoing chase to snuff out Russian-linked financial platforms that assist cybercriminals.
CPE Webcast: IT controls: Navigating the path to a secure digital ...
Webcast CPE Webcast: Navigating Contact Compliance in 2025: An Overview of Upcoming Legislation and How to Prepare. 2024-12-05T14:00:00Z Provided by Gryphon.ai. As we approach 2025, the regulatory landscape for the Telephone Consumer Protection Act (TCPA) and Do Not Call (DNC) regulations is becoming increasingly complex.
CFPB will enforce Fair Credit Reporting Act on employee …
Oct 25, 2024 · Businesses need to follow the consumer protection rules of the Fair Credit Reporting Act (FCRA) when engaging in employee surveillance, which includes background reports about employees produced by third parties using artificial intelligence, the Consumer Financial Protection Bureau (CFPB) said Thursday in new guidance.