All United States articles – Page 109
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News Brief
Five more board members resign in DOJ antitrust sweep
Five corporate board members resigned after being flagged by the Department of Justice for potentially violating the antitrust provisions of the Clayton Act.
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News BriefWebull fined $3M for failing to properly supervise automated trading system
The Financial Industry Regulatory Authority fined broker-dealer Webull Financial $3 million for alleged failures related to customer due diligence and processing and reporting of customer complaints.
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News BriefEnergy broker Coquest fined by CFTC in block trade manipulation case
Energy broker Coquest, its owners, and trading affiliates agreed to pay a total of nearly $3 million to resolve allegations from the Commodity Futures Trading Commission the firm failed in its oversight responsibilities regarding more than 2,000 trades made against its customers.
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Blog
Perdue Farms appoints chief compliance officer
Perdue Farms announced the appointment of Catherine Muldoon as chief compliance officer.
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OpinionTen things I’m excited for at CW National 2023
Ten weeks before Compliance Week National 2023 kicks off May 15 at the JW Marriott in Washington, D.C, CW Editor in Chief Kyle Brasseur shares what he’s looking forward to most at the annual event.
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News BriefCFPB, NLRB to collaborate on monitoring employee surveillance
The Consumer Financial Protection Bureau and National Labor Relations Board pledged to share information regarding instances of improper employer use of surveillance tools and the sale of employees’ personal information.
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Blog
Nike recruits ex-Twitter diversity head as chief DEI officer
Nike will fill its vacant chief diversity, equity, and inclusion officer role by hiring Twitter’s former DEI head James Loduca, according to a post on his LinkedIn profile.
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Blog
New York Life promotes corporate compliance VP to CCO
New York Life announced the promotion of Senior Vice President of Corporate Compliance Sandi Tillotson to chief compliance officer.
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Blog
GE Vernova recruits general counsel from Starbucks
GE Vernova announced the appointment of Rachel Gonzalez as general counsel.
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News BriefFlutter Entertainment to pay $4M for legacy FCPA violations
Ireland-based gaming and sports betting company Flutter Entertainment will pay a $4 million fine to resolve SEC charges payments made to Russian consultants by a company it acquired violated the Foreign Corrupt Practices Act.
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News BriefSEC orders Rio Tinto to pay $15M over FCPA violations
U.K.-based mining and minerals company Rio Tinto will pay a $15 million fine to settle charges of violating the Foreign Corrupt Practices Act when it entered into a scheme with a consultant in 2011 to bribe government officials in Guinea.
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News Brief
SEC commissioner advocates blanket compliance delays for small companies
Smaller reporting companies should, by default, have delayed compliance dates of at least one year on any new disclosure rule, SEC Commissioner Mark Uyeda said in a recent speech.
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Blog
Axogen names general counsel in charge of compliance
Axogen, a surgical solutions company specializing in peripheral nerve injuries, announced the appointment of Marc Began as executive vice president and general counsel.
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Blog
Mr. Cooper Group appoints chief risk and compliance officer
Home loan servicer Mr. Cooper Group announced the appointment of Christine Paxton as executive vice president and chief risk and compliance officer.
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PremiumGoogle, Uber CCOs share approaches to data analytics
The chief compliance officers of Google and Uber offer insight into how their data analytics compliance programs have evolved amid enhanced scrutiny on use of technology from the Department of Justice.
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News BriefSEC fines broker-dealer $100K over SARs reporting failures
Cambria Capital agreed to pay $100,000, hire an independent anti-money laundering consultant, and be censured for failing to file suspicious activity reports on certain transactions over a two-year period, according to the Securities and Exchange Commission.
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News BriefU.S. authorities list red flags for sanction evasion by third parties
The Bureau of Industry and Security, Office of Foreign Assets Control, and Department of Justice issued guidance to highlight common methods bad actors use to evade sanctions and export controls on Russia and how to spot their use.
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Blog
Orange County Bancorp promotes chief credit officer to chief risk officer
Orange County Bancorp, the parent company of Orange Bank & Trust Co., announced the promotion of Michael Listner to chief risk officer.
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News BriefEricsson to pay $207M for breaches of 2019 DPA over FCPA violations
Swedish telecommunications company Ericsson agreed to pay nearly $207 million following two breaches of its 2019 deferred prosecution agreement with U.S. authorities.
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News BriefDOJ sets new compliance criteria for criminal investigations
The Department of Justice announced changes to its evaluation procedures for corporate compliance programs in criminal investigations, including monitoring off-channel messaging by employees, executive compensation programs, and how the agency selects compliance monitors.