All United States articles – Page 12
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Blog
Safe-Guard Products International names CRO
Safe-Guard Products International, provider of third-party private label protection products for the automotive, RV, marine, and powersports industries, announced the appointment of Alen Gong as chief risk officer.
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News Brief‘Biblically responsible’ investment adviser ordered to pay $300K over misleading investors
A “biblically responsible” investment adviser agreed to pay $300,000 and hire an independent compliance consultant to settle charges with the Securities and Exchange Commission that it misled investors, along with other compliance failures.
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PremiumFTC sounds alarm on business practices turning into ‘vast surveillance’
The Federal Trade Commission took aim at the business models of some of the world’s largest companies, publishing a years-long study that decried technologies that have created “vast surveillance” networks that expose people to “a host of harms” and violate children’s privacy laws.
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News BriefPrager Metis agrees to pay $2M over failed audits, including FTX
Waves of fallout from the collapse of cryptocurrency trading platform FTX continue to ripple, as accounting firm Prager Metis has learned.
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Blog
Cardless hires chief compliance officer
Fintech innovator Cardless announced that Ailien Phan will be its chief compliance officer.
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News BriefSEC fines First Horizon $325K for RegBI violations caused by merger
First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it violated Regulation Best Interest in part due to issues with incorporating a merged firms’ accounts into its systems.
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News BriefFDIC proposes requiring banks to keep better deposit records of fintech partners
The Federal Deposit Insurance Corporation proposed a new rule that would require banks to keep better deposit records on ownership of funds controlled by their financial technology partners.
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Blog
First Financial Bankshares announces GC
First Financial Bankshares announced the election of Brian Goodrich as executive vice president and general counsel.
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PremiumBank mergers will receive more antitrust scrutiny under new FDIC rule
Federal banking regulators approved a new rule for bank mergers that will require additional scrutiny of mergers for antitrust issues for large and mid-sized banks.
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Blog
The Wendy’s Company announces CLO
The Wendy’s Company announced the appointment of John Min as the chief legal officer and secretary.
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Blog
US Capital Global names global CCO
US Capital Global announced the appointment of Pankaj Vashisth as partner and global chief compliance officer.
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Blog
Corza Medical appoints compliance chief
Corza Medical announced the appointment of Jason Abair as its new vice president, legal & chief compliance officer.
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Blog
Verisma names general counsel
Health information solutions provider Verisma welcomed Becca Mix as general counsel.
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Blog
DNSFilter promotes GC to legal chief
Content filtering and threat protection service DNSFilter promoted its General Counsel Lauren Romer to chief legal officer.
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Blog
Cellares appoints general counsel
Cellares, a leader in cell therapy manufacturing, announced the leadership appointment of Jonathan Butler as general counsel and corporate secretary.
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Blog
Waterfall Asset Management names GC, compliance chief as partner
Waterfall Asset Management announced that its Chief Operating Officer, General Counsel, and Chief Compliance Officer Kenneth Nick has become partner in the firm.
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Blog
Amherst appoints general counsel
The Amherst Group, a real estate investment, development and operating platform, announced the appointment of Peter Campbell as general counsel.
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News BriefSEC charges Kubient 'gatekeepers' with failing to stop CEO's AI fraud
Gatekeepers including chief financial officers and the chair of the audit committee have a responsibility to shareholders to report fraud wherever they find it–especially when that fraud involves an artificial intelligence tool meant to combat fraud.
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News BriefSEC nets $1.3M in off-channel comms sweep against municipal advisory firms
Fines for off-channel communications use by employees just keep on coming, with 12 municipal advisory firms fined a total of $1.3 million in the latest Securities and Exchange Commission sweep.
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News BriefFINRA fines Wells Fargo unit $3M for repeatedly pushing ‘unsuitable’ investments
A Wells Fargo subsidiary will pay nearly $3 million to settle allegations that it failed to properly supervise an employee attempting to sell unsuitable investment products to retail investors–the fifth time it has been penalized for similar supervisory failings since 2020.