All United States articles – Page 11
-
Blog
PSEG names new GC
Infrastructure company PSEG announced that Deputy General Counsel and Chief Litigation Counsel Grace Park has been appointed executive vice president and general counsel.
-
Blog
IDEAYA appoints general counsel
IDEAYA Biosciences announced that Douglas Snyder joined the company as its senior vice president, general counsel.
-
Blog
Mobile Network 24 appoints general counsel
Mobile Network 24 appointed Lucien Marioneaux as its director of aviation and general counsel.
-
Blog
Atlantic Music Group announces GC
Atlantic Music Group announced that Erica Bellarosa is promoted to general counsel.
-
Blog
Morris & Dickson announces compliance chief
Pharmaceutical distributor Morris & Dickson announced that Vinu Pillai has joined the company as its chief compliance and regulatory officer.
-
Blog
PCBB appoints chief risk officer
Financial firm PCBB announced the appointment of Radhika Lipton as chief risk officer.
-
Blog
eBay announces legal chief, GC
eBay announced the appointment of Samantha Wellington as senior vice president, chief legal officer, general counsel and secretary, effective Oct. 7.
-
Blog
Amtrak appoints general counsel
National passenger railroad company Amtrak appointed Byl Herrmann to the position of executive vice president and general counsel, effective Oct. 1.
-
Blog
AMMO names compliance chief as CFO
AMMO, which designs and manufactures products for a variety of aptitudes, including law enforcement, military, sport shooting and self-defense, announced that Paul Kasowski, who has served as the company’s chief compliance and transformation officer, has been appointed as the new chief financial officer.
-
Blog
Norfolk Southern names legal chief
Transport company Norfolk Southern Corporation named Jason Morris as senior vice president, chief legal officer and corporate secretary.
-
News BriefFive firms fined by PCAOB for alleged communications, reporting failures
The Public Company Accounting Oversight Board fined five consultancies, including Ernst & Young, as the agency continues its crackdown on firms violating audit committee communications rules and reporting requirements.
-
News BriefDOJ updates ECCP to include AI risks, whistleblower protections
Companies under criminal prosecution by the Department of Justice for any reason must show they have robust compliance for any artificial intelligence in use–or risk heightened prosecution–under a DOJ policy update.
-
News BriefAAR Corp. discloses former exec implicated in Nepal, South Africa FCPA violations
Aviation maintenance services provider AAR Corp. disclosed that several former employees may have bribed officials in Nepal and South Africa to win contracts, and chose to self-report violations of the Foreign Corrupt Practices Act to authorities in the U.S. and U.K.
-
PremiumAI and government: How Trump or Harris presidency will differ on policy, regulation
AI may be one of the hottest things in the business world but former President Donald Trump and Vice President Kamala Harris haven’t devoted much time to discussing the technology. Still, each candidate has offered a few clues as to how they would govern over this next wave of innovation.
-
News BriefSEC to host Nov. 7 virtual compliance seminar for investment advisers
The Securities and Exchange Commission will host a virtual national seminar on Nov. 7 targeted toward chief compliance officers at investment companies and investment advisers.
-
News BriefRegs levy $120M in fines over off-channel comms with two firms avoiding penalties
Regulators continue to hammer firms with fines for violating rules regarding the use of unapproved communication methods by employees, issuing $120 million in fines this week. And for the first time, two firms were not fined because they self-reported their violations.
-
PremiumHow lax compliance led three defense companies to give military secrets to U.S. adversaries
There are dozens of ways foreign countries can get their hands on U.S. military secrets, including cyberhacking, espionage, theft, and more. But one increasingly concerning way has been through unintentional disclosures by trusted defense contractors, including Boeing, 3D Systems Corp., and RTX Corp., parent company of Raytheon.
-
News BriefSEC penalizes Macquarie Asset Management $80M for overvaluing assets, fraud
Historically, the SEC has fiercely protected the rights of retail investors, and is constantly churning out enforcement actions against investment advisers it alleges have defrauded and manipulated its customers. So, it was somewhat unusual the agency issued an enforcement action this week that involved protecting the rights of institutional investors.
-
Blog
FINRA names XML Securities’ CCO to board of governors
FINRA announced the election of Jennifer Szaro, chief compliance officer and a managing equity owner at XML Securities and its affiliated registered investment adviser, XML Financial Group, to its board of governors.