All United States articles – Page 130
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ArticleDems seek stronger HIPAA privacy for abortion patients
Democratic senators are urging the Department of Health and Human Services to strengthen federal health privacy protections for abortion patients by updating the HIPAA Privacy Rule.
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ArticleSEC fines four in pay-to-play enforcement sweep
Four investment advisers were fined between $45,000 and $95,000 by the Securities and Exchange Commission for violating the agency’s pay-to-play rule.
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OnPoint promotes general counsel to chief legal officer
OnPoint Community Credit Union announced the appointment of Wendy Beth Oliver as senior vice president and chief legal officer.
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ArticleBrazil airline Gol settles FCPA bribery charges for $41M
Brazilian airline Gol agreed to pay $41 million as part of reduced settlements addressing bribery investigations conducted by authorities in the United States and Brazil.
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MIG appoints chief legal officer in charge of compliance
McNeill Investment Group, formerly McNeill Hotel Investors, announced the appointment of Sussan Harshbarger as a managing director and chief legal officer.
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Pinterest names chief legal officer to head compliance
Social media company Pinterest announced the appointment of Wanji Walcott as chief legal officer, effective Nov. 14.
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Heidrick & Struggles appoints global managing partner of DEI
Heidrick & Struggles, a business consulting and services firm, announced the appointment of Jonathan McBride as global managing partner of diversity, equity, and inclusion.
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ArticleDOJ to emphasize individual accountability, prior misconduct in corporate crime probes
Deputy Attorney General Lisa Monaco announced sweeping changes to the Department of Justice’s efforts to fight corporate crime, including new guidance regarding individual accountability, voluntary self-disclosure, compliance monitors, and ways to strengthen compliance culture.
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Fannie Mae names chief risk officer
The Federal National Mortgage Association announced the appointment of Anthony Moon as executive vice president and chief risk officer.
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HarbourVest Partners appoints chief compliance officer
HarbourVest Partners, a global private markets investment specialist, announced the appointment of Adam Freedman as managing director and chief compliance officer.
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ArticleHow effective beneficial ownership searches leverage technology
Determining the ultimate beneficial owner of individuals and companies your firm does business with can be a tricky thing. The most efficient investigations require an understanding of your firm’s risk appetite and appropriate technology to automate searches.
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ArticleRegulation by enforcement does nobody any favors
To see a prominent representative from the CFTC accuse the SEC of “regulation by enforcement” might raise the eyebrow of some observers. But it shouldn’t—not when that’s the latter’s stated strategy.
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ArticleAkorn to pay $7.9M for Medicare false claims
Drug manufacturer Akorn Operating Company agreed to pay $7.9 million in a settlement with the Department of Justice for continuing to sell three drugs through Medicare when they were no longer covered under the program.
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Kelly Services adds chief diversity officer
Kelly Services, a recruitment and staffing company, announced the promotion of Vice President of Vertical Lead Keilon Ratliff to chief diversity officer.
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Bramshill Investments promotes compliance director to CCO
Asset management firm Bramshill Investments announced the promotion of Senior Director of Compliance Mona Daruwala to chief compliance officer.
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ArticleLoop Capital fined $100K over municipal adviser registration violations
The Securities and Exchange Commission for the first time punished a broker-dealer—Chicago-based Loop Capital Markets—for providing advice to a municipal entity without registering with the agency as a municipal adviser.
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ArticleEx-CEO of environmental consultant imprisoned 3 years for false reports
DiAne Gordon, the former CEO and co-owner of Environmental Compliance & Testing, was sentenced to three years in prison for fabricating water quality reports that were sent to state environmental agencies.
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Prosperity Bank to pay $19K in first PPP lender false claims settlement
Houston-based Prosperity Bank will pay approximately $18,700 to resolve allegations it processed a Paycheck Protection Program loan for an ineligible recipient in what is believed to be a landmark False Claims Act settlement.
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loanDepot appoints chief risk officer
Consumer lending and real estate services provider loanDepot announced the appointment of Joseph Grassi as chief risk officer.
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WillowTree names chief diversity officer
WillowTree, a digital product consultancy service, announced the appointment of Kelli Palmer as chief diversity officer.