All United States articles – Page 36
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Blog
Black Hills general counsel, CCO to retire
Natural gas distribution company Black Hills Corp. announced Brian Iverson will retire as its senior vice president, general counsel and chief compliance officer.
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Blog
SageSpring Wealth Partners names chief compliance officer
Investment adviser SageSpring Wealth Partners named Brad Clayton as its new chief compliance officer.
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Blog
Sony Pictures Entertainment names general counsel
Sony Pictures Entertainment announced Jill Ratner was named executive vice president and general counsel.
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Blog
Wolverine Worldwide appoints legal chief
Footwear company Wolverine Worldwide announced Dave Latchana was appointed chief legal officer and corporate secretary.
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PremiumQuestions abound on foreign aid bill change to sanctions violations lookbacks
Tucked deep inside the $95 billion foreign aid bill recently passed by Congress was a provision that will allow the Office of Foreign Assets Control to look back 10 years to investigate potential violations of U.S. sanctions, rather than five years.
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PremiumPreparation key for ‘tectonic change’ from FTC noncompete ban
Companies would be wise to prepare to comply with the Federal Trade Commission’s rule to ban noncompete clauses, despite legal challenges that might delay or prevent it taking effect altogether.
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News BriefTD Bank reserves $450M for BSA/AML enforcements
TD Bank said it set aside $450 million to settle regulatory and law enforcement investigations, including by the Department of Justice, into its anti-money laundering and Bank Secrecy Act programs.
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News BriefPCAOB removes redactions on 2022 KPMG inspection
The Public Company Accounting Oversight Board published the full results of its 2022 inspection for Big Four firm KPMG after its initial report contained more than two dozen redactions.
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PremiumCCO liability: How to protect your compliance career
Despite significant issues outside the control of most chief compliance officers, some regulators have signaled more individual liability cases are to be expected. Will accepting the wrong job, in hindsight, make it your last?
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News BriefRBC unit fined by FINRA over trade confirmation violations
RBC Capital Markets agreed to pay nearly $769,000 to settle allegations levied by the Financial Industry Regulatory Authority, in part, over sending inaccurate information in trade confirmations to customers over nearly a decade.
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News BriefState AGs tell UnitedHealth to do more in cyberattack aftermath
UnitedHealth Group’s response to a major cyberattack in February that wreaked havoc with medical payments nationwide has been “inadequate” and must be improved immediately, a group of 22 state attorneys general told the company.
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PremiumQ&A: Zoom privacy chief on communications compliance product
Zoom Chief Privacy Officer Lynn Haaland discusses with Compliance Week the market forces that led the company to offer Zoom Compliance Manager, which helps firms handle off-channel communications issues on the platform.
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News BriefFCC finalizes $196M in fines against telecoms for sharing location data
The Federal Communications Commission fined telecommunications giants T-Mobile, Sprint, AT&T, and Verizon a total of approximately $196 million for allegedly selling customers’ location data to third parties without consent.
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News BriefProposed update to FDIC’s Change in Bank Control Act fails to advance
A notice of proposed rulemaking to modify the Federal Deposit Insurance Corporation’s Change in Bank Control Act was withdrawn after receiving mixed reviews among the agency’s board of directors.
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News BriefFINRA fines TD Ameritrade $600K over automated approval failures
Online brokerage services provider TD Ameritrade agreed to pay a $600,000 fine for violations of Financial Industry Regulatory Authority rules over its automated approval system that allegedly allowed inexperienced traders to engage in options trading.
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News BriefWilliams-Sonoma fined record $3.2M over admitted ‘Made in USA’ order violations
Kitchen and home retail company Williams-Sonoma agreed to pay nearly $3.2 million for failing to comply with a 2020 administrative order by the Federal Trade Commission prohibiting its marketing of imported goods as made in the United States.
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PremiumWirecard whistleblower laments EU speak-up protection inconsistencies
The European Union’s strong stance on whistleblower protection has been undermined by member states’ wildly different approaches to punishing organizations that fail to safeguard people who raise concerns, says Wirecard whistleblower Pav Gill.
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News BriefMobile health apps must follow FTC breach notice rule after update
Mobile health applications and similar technologies must notify customers following a data breach or risk violating the Federal Trade Commission’s health breach notification rule.
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News BriefTikTok scrutiny mounts across globe amid EU, U.S. crackdowns
TikTok is suspending new features amid an inquiry by the European Commission into its compliance with the Digital Services Act, all while responding to a U.S. ban just signed into law.
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PremiumCFTC commissioner calls for AI framework in commodities markets
Kristin Johnson of the Commodity Futures Trading Commission called for the agency to launch initiatives addressing the use—and misuse—of artificial intelligence tools in commodities markets.