All United States articles – Page 36
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Blog
Alliance Entertainment announces chief compliance officer
Alliance Entertainment Holding Corp. announced the appointment of Robert Black as chief compliance officer.
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Blog
Texas Capital names chief risk officer
Texas Capital Bancshares, the parent company of Texas Capital, announced the appointment of David Oman to serve as chief risk officer.
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News BriefInnovasis, execs settle false claims case for $12M
Medical device manufacturer Innovasis and two of its top executives agreed to pay a total of $12 million to settle allegations originally brought by a whistleblower that they paid kickbacks to physicians.
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News BriefFINRA dings Bank of America unit over notification lapses
The Financial Industry Regulatory Authority fined a Bank of America subsidiary $90,080 for filing untimely or inaccurate notifications related to security distributions and failing to adopt an adequate supervisory system.
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PremiumSEC’s Grewal shares views on ‘Five Principles of Effective Cooperation’
Gurbir Grewal, director of the Enforcement Division at the Securities and Exchange Commission, spelled out plainly his view on the best path to earning cooperation credit during settlement negotiations with the agency.
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Baker Tilly names GC as chief risk officer
Advisory, tax, and assurance firm Baker Tilly announced the appointment of Principal and General Counsel Theresa Meiners as chief risk officer.
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Neptune Flood promotes chief risk officer
Insurance company Neptune Flood announced the promotion of Matt Duffy to managing director and chief risk officer.
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Xcel Energy names legal, compliance chief
Utilities company Xcel Energy named Rob Berntsen as executive vice president and chief legal and compliance officer.
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Broadway Financial appoints GC, chief risk officer
Broadway Financial Corp., the holding company of City First Bank, announced Elizabeth Sur as executive vice president, general counsel and chief risk officer of both Broadway and the bank.
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CSAA Insurance Group names legal chief
CSAA Insurance Group named Katherine Evans as executive vice president and chief legal officer.
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Empower adds chief compliance officer
Retirement services provider Empower announced KC Waldron will join the company as chief compliance officer.
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Blog
FirstEnergy names chief privacy officer
Electric utility company FirstEnergy Corp. named Deandra Williams-Lewis as chief privacy officer, in addition to her current role as director, ethics and compliance.
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News BriefLessons from Arthur Grand ‘whites only’ case
IT company Arthur Grand Technologies’ settlements with the Department of Justice and Department of Labor regarding a discriminatory “whites only” job posting offer key takeaways regarding company liability and reputation risks.
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PremiumOCC’s Hsu advocates requiring mid-sized banks create ‘robust’ recovery plans
Acting Comptroller of the Currency Michael Hsu said he favors requiring more mid-sized U.S. banks to conduct the same rigorous recovery planning as the largest banks, part of a lesson learned from the collapse of three mid-sized banks in 2023.
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News BriefMass Ave Global fined $350K for compliance, communication lapses
Mass Ave Global agreed to pay $350,000 for alleged failures that led the investment adviser to make false and misleading statements to investors, according to the Securities and Exchange Commission.
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EventRevamped compliance processes key Albemarle win as Compliance Program of the Year
For successfully navigating thorny compliance issues related to self-disclosed violations of the Foreign Corrupt Practices Act, Albemarle was named Compliance Program of the Year at the 2024 Excellence in Compliance Awards.
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EventGina Nese stays ahead of the curve as CCO of the Year
Gina Nese, head of compliance and privacy at Align Technology, jumps at the chance to share new ideas and ways to innovate, including regarding emerging technologies like AI. Her work earned her recognition as CCO of the Year at the 2024 Excellence in Compliance Awards.
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News BriefTD Bank risk chief laments ‘procedural weaknesses’ in U.S. AML program
TD Bank Chief Risk Officer Ajai Bambawale said “procedural weaknesses” in the institution’s U.S. anti-money laundering program allowed bad actors to exploit its network.
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News BriefTreasury, other agencies issue voluntary carbon market principles
The Treasury Department and other U.S. agencies announced a coordinated federal policy concerning carbon credits and other voluntary incentives to encourage businesses and agriculture to cut their carbon footprints.
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EventQ&A: Compliance Mentor of the Year Melanie Sponholz
Melanie Sponholz, chief compliance officer and director of responsible investing, portfolio operations at Waud Capital Partners, discusses with Compliance Week her mentoring philosophy, the ways she connects with other professionals, and the importance of influence to the compliance function.