All United States articles – Page 15
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Blog
Eastman names chief legal officer
Eastman Chemical Company announced that Iké Adeyemi will serve as senior vice president, chief legal officer, and corporate secretary, effective Sep. 9.
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Blog
Crash Champions appoints CLO
Crash Champions, provider of high-quality collision repair services, announced the appointment of Seth Ingall as its chief legal officer.
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MDU Resources appoints Avista GC to board
MDU Resources Group announced that Marian Durkin, who was previously senior vice president, general counsel, secretary and chief compliance officer for Avista Corporation, has been appointed to the company’s board of directors.
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BRG Financial Institution Advisory practice names a former CCO as MD
Global expert services and consulting firm Berkeley Research Group announced that Michael Hollerich, who earlier served as chief compliance officer for two publicly traded financial services firms, has joined its financial institution advisory practice as a managing director.
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Columbia Climate School names first sustainability chief
Columbia Climate School has named Daniel Zarrilli as the university’s first chief climate & sustainability officer.
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Woodward appoints GC, compliance chief
Aerospace and industrial energy control solutions provider Woodward announced the appointment of Karrie Bem as executive vice president, general counsel, corporate secretary, and chief compliance officer, effective Sep 16.
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PremiumStrengthening BSA/AML defenses: Critical role of ERTs in modern day compliance
Enforcement actions in the first half of of 2024 by the Treasury Department’s Financial Crimes Enforcement Network highlight the importance of proactive measures in Bank Secrecy Act compliance rather than just being compliant.
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News BriefFed's new capital requirement latest fallout from 2023 banking failures
The Federal Reserve Board will require more than 30 of country’s largest banks to maintain a minimum percentage of capital in reserve, a percentage which the Fed calculated based on their complexity and whether they are considered a global systemically important bank.
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OpinionIan Sherr joins Compliance Week as its new editor-in-chief
New Compliance Week Editor-In-Chief Ian Sherr shares his thoughts on where compliance is headed as businesses meet the realities of not just following the rules, but staying ahead of the pace of regulatory change at a global scale.
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News BriefFinCEN finalizes AML rules for investment advisers, cash real estate transactions
The Treasury Department’s Financial Crimes Enforcement Network released new anti-money laundering requirements for U.S. investment advisers and real estate professionals that attempt to close loopholes that criminals and kleptocrats have long exploited.
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Blog
Wheels Up announces legal chief
Wheels Up Experience, an on-demand private aviation provider, announced that Matthew Knopf will be joining as chief legal officer and secretary, effective Sep. 9.
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News BriefRaymond James to pay $1.9M over failing to supervise mutual fund transactions
Raymond James & Associates and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority that it didn’t have an effective system to handle customer complaints, along with millions of direct mutual fund transactions not reasonably being supervised.
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Blog
Konami Gaming names CCO
Konami Gaming announced that Lori Olk has been appointed senior vice president, regulatory compliance and chief compliance officer.
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Golden State Clean Energy announces GC
Golden State Clean Energy announced the hiring of Erica von Pechmann as general counsel.
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News BriefBank of America unit reaches $3M settlement with FINRA over surveillance lapses
A subsidiary of Bank of America agreed to pay $3 million and take remedial measures to resolve allegations that its surveillance system didn’t detect manipulative trading, the Financial Industry Regulatory Authority said.
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News BriefBCG avoids criminal prosecution for FCPA violations related to bribes in Angola
The Department of Justice declined to prosecute Boston Consulting Group for allegedly bribing Angolan officials in violation of the Foreign Corrupt Practices Act, citing the firm’s prompt self-disclosure and timely remediation.
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News BriefNasdaq unit reaches $22M settlement with CFTC over supervision failures
The Commodity Futures Trading Commission fined a Nasdaq subsidiary $22 million over allegedly misleading the public, regulators, and its own compliance staff about the details of a trader incentive program.
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Clarivate names chief administrative, legal officer
Clarivate appointed Melanie Margolin to the expanded role of chief administrative and legal officer.
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Vanguard announces general counsel
Investment management firm Vanguard announced that Tonya Robinson will join as general counsel and managing director of its legal division, effective Oct. 1.
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Blog
Pyxus International appoints new CCO
Agricultural company Pyxus International announced the appointment of David Singer as senior vice president, chief legal officer, and secretary.