All United States articles – Page 26
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News BriefOCC emphasizes compliance’s role in FI’s operational resiliency
Compliance departments at financial institutions must become more involved in ensuring their firm’s operational resiliency to address emerging risks, the Treasury Department’s Office of the Comptroller of the Currency said in its semi-annual risk perspective.
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News BriefCFTC awards whistleblower $8M despite involvement in misconduct
A whistleblower received an $8 million award from the Commodity Futures Trading Commission for uncovering fraud—even though the agency deemed the whistleblower was culpable in the misconduct.
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Redwire hires general counsel
Space infrastructure provider Redwire Corporation announced that Aaron Futch has been appointed executive vice president, general counsel, and secretary.
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HGGC adds GC, CCO
Middle-market private equity firm HGGC announced it has named Rachel Stock as general counsel and chief compliance officer.
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VideoAmp names general counsel
VideoAmp, a media measurement company, announced the promotion of Sharon Lee as executive vice president, general counsel.
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Payzli announces chief risk officer
Payzli announced that Arash Izadpanah will be its chief risk officer.
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News BriefSEC orders R.R. Donnelley to pay $2.1M over cyber-related control violations
A business communications and marketing services company agreed to pay more than $2 million to settle charges levied by the Securities and Exchange Commission over cybersecurity-related control violations.
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Horizon3.ai appoints chief legal officer
Horizon3.ai, an autonomous security solutions provider, announced the appointment of Jill Passalacqua as chief legal officer.
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ExxonMobil elects new general counsel
ExxonMobil Corporation announced the election of Jeff Taylor as vice president, general counsel, and secretary.
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News BriefDOJ orders consultants to pay $11.3M total for cyber rule violations
Guidehouse and Nan McKay and Associates will pay a total of $11.3 million to the Department of Justice (DOJ) to settle allegations that cybersecurity failures led to the theft of client personal information during the height of the COVID-19 pandemic.
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News BriefCredit Suisse unit inks deal with OCC over BSA/AML obligations
The New York branch of Swiss bank Credit Suisse reached a deal with the Treasury Department’s Office of the Comptroller of the Currency (OCC) over compliance with its Bank Secrecy Act and anti-money laundering obligations.
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Meridian Capital Group names first risk chief
Meridian Capital Group announced that it has named Melissa Martinez as the firm’s first chief risk officer.
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Commonwealth Asset Management GC, CCO joins Crowell & Moring
Crowell & Moring announced that Christopher Mendez, former general counsel and chief compliance officer at Commonwealth Asset Management, has joined its financial services group as senior counsel.
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WEX names chief legal officer
Global commerce platform WEX announced that Sara Trickett has been appointed chief legal officer and corporate secretary.
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Contineum Therapeutics announces general counsel
Contineum Therapeutics announced the appointment of John Healy as general counsel and corporate secretary.
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PremiumSEC, CFTC actively probe off-channel comms violations, top officials say
Two senior officials from the Securities and Exchange Commission and Commodity Futures Trading Commission described how both agencies are committed to rooting out off-channel communications among registered entities for the long term.
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News BriefFTC sues Adobe alleging hidden subscription cancellation fees
The Federal Trade Commission took aim at Adobe and two executives Monday for making it too difficult for consumers to cancel their subscriptions and often charging a fee to do so.
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News BriefCFTC orders Trafigura to pay $55M over fraud, impeding whistleblowers
Singapore-based commodity trading company Trafigura will pay $55 million to the Commodity Futures Trading Commission to settle charges related to fraud, manipulation, and impeding whistleblower communications with the agency.
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News BriefVermont governor vetoes privacy bill, legislature plans override vote
Vermont Republican Gov. Phil Scott vetoed a data privacy bill approved by the state’s Democrat-led legislature, which plans an override vote this week.
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News BriefWashington state importer ordered to hire CCO in response to Lacey Act violations
A Washington state importer has been ordered by the Department of Justice to pay a $360,000 fine and hire a chief compliance officer after imported wood items the company claimed to be from Malaysia were found to be from China.