All United States articles – Page 125
-
News BriefSEC, CFTC order Options Clearing Corp. to pay $22M over internal rule failures
Options Clearing Corp. agreed to pay $22 million as part of settlements with the Securities and Exchange Commission and Commodity Futures Trading Commission addressing charges the company failed to comply with internal rules to manage risks.
-
News BriefDOJ official defends use of DPAs amid criticisms
Deputy Assistant Attorney General Lisa Miller spoke to the value of deferred prosecution agreements to resolve corporate misconduct amid renewed criticism directed toward the Department of Justice’s 2021 agreement with Boeing.
-
PremiumGDPR push for privacy by design still ‘a long way off’
Italy’s data protection authority banned U.S.-based AI chatbot creator Replika from processing the personal data of Italian users because of risks the service posed to minors and vulnerable people—the latest example of a tech company’s product running afoul of the GDPR.
-
Blog
Vytalize Health appoints chief compliance officer
Vytalize Health announced the appointment of Derek Kang as chief compliance officer.
-
Blog
Coalesce Capital appoints chief compliance officer
Private equity firm Coalesce Capital announced the appointment of Bethany Foullois as chief compliance officer and chief operating officer.
-
Blog
Tesla recruits general counsel from Dish Network
Electric vehicle maker Tesla announced the appointment of Brandon Ehrhart as general counsel and corporate secretary.
-
Blog
Sprinklr promotes CCO to general counsel
Software-as-a-service company Sprinklr announced the promotion of Deputy General Counsel and Chief Compliance Officer Jacob Scott to general counsel and corporate secretary.
-
News BriefSEC proposes expansion of RIA custody rule
The Securities and Exchange Commission proposed registered investment advisers be required to place nearly any asset, not just cash and securities, with qualified custodians, thereby expanding the scope of client assets.
-
PremiumCISA strategist: What is an SBOM and why it matters to compliance
Cyberattacks on software are increasing, and the best chance organizations have of protecting themselves is to know about potential vulnerabilities through a software bill of materials, CISA Strategist Allan Friedman shared at CW’s virtual Cyber Risk & Data Privacy Summit.
-
Blog
Binance recruits chief compliance officer from Gemini
Cryptocurrency exchange Binance continued its streak of recruiting compliance professionals from rival companies by appointing former Gemini Chief Operating Officer Noah Perlman as global chief compliance officer.
-
Blog
Quantum Energy Partners names chief compliance officer
Quantum Energy Partners, a financial services firm serving the energy industry, announced the appointment of Sharmin Beacco as chief compliance officer.
-
Blog
Mars names DEI director for North America
Candy and snacks manufacturer Mars announced the appointment of Flavia Moreira as diversity, equity, and inclusion director for North America.
-
News BriefRoadrunner avoids $9.6M in penalties in SEC accounting fraud case
Roadrunner Transportation Systems avoided further penalties regarding allegations of accounting fraud after the Securities and Exchange Commission deemed a $20 million class-action settlement agreed to in 2019 returned any ill-gotten gains.
-
Blog
Biden taps vice chair of Fed for economics post
President Joe Biden announced the appointment of Vice Chair of the Federal Reserve Lael Brainard as director of the National Economic Council.
-
News Brief
Spacelabs Healthcare to pay $2.5M over VA contract false claims
Spacelabs Healthcare agreed to pay $2.5 million as part of a settlement with the Department of Justice resolving allegations it overcharged the U.S. Department of Veterans Affairs for medical devices.
-
Blog
PlayAGS names chief legal officer
PlayAGS, a supplier of table, slot, and interactive gaming products, announced the appointment of Robert Ziems as chief legal officer.
-
Blog
LendKey promotes general counsel to chief legal officer
LendKey, an online student loan marketplace, announced the promotion of David Mark to chief legal officer and head of regulatory compliance.
-
Blog
Catalent appoints general counsel, chief compliance officer
Catalent, a pharmaceuticals manufacturer and consumer health products company, announced the appointment of Joseph Ferraro as senior vice president, general counsel, chief compliance officer, and secretary.
-
PremiumComerica pressured over handling of government program fraud claims
Comerica Bank has been battling allegations for years of mishandled fraudulent transactions in violation of U.S. federal banking laws. A series of class-action lawsuits against the bank recently certified by a federal district court judge provide scope into the alleged failings.
-
Blog
Zendesk recruits compliance head from Snap
Hemma Lomax, the former senior corporate counsel of integrity and compliance at Snap, announced she will be departing the social media company to head compliance at Zendesk.