All United States articles – Page 40
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Blog
Probo Medical hires general counsel
Global diagnostic imaging solutions provider Probo Medical announced the hiring of Ashlyn Jennings as chief administrative officer and general counsel.
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STAAR Surgical announces general counsel
Medical equipment manufacturer STAAR Surgical Company announced Nathaniel Sisitsky was named general counsel.
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Elite appoints chief legal officer
Elite, which provides financial management and business operations solutions to law firms, announced it appointed Stephanie Milikh as chief legal officer and corporate secretary.
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News BriefDOJ launches task force on anticompetitive practices in healthcare
The Department of Justice’s Antitrust Division created a new task force to examine collusion and monopolies in the healthcare industry.
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News BriefFed-led climate scenario analysis highlights data gaps, insurance costs
The Federal Reserve Board and six large American banks released the results of a pilot climate scenario analysis that explored how resilient the banks’ business models were to climate-related financial risks.
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News BriefFINRA fines Merrill Lynch $825K over order execution supervision lapses
Merrill Lynch was assessed an $825,000 penalty by the Financial Industry Regulatory Authority for alleged supervision failures regarding the execution of marketable equity orders entered into its electronic order systems.
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BHI appoints chief risk and compliance officer
BHI, the U.S. division of Israel-based Bank Hapoalim, appointed Nisan Blum as chief risk and compliance officer.
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TRAC Intermodal adds legal chief
TRAC Intermodal, a marine chassis provider and pool manager, announced Katherine Whalen is joining as executive vice president and chief legal officer.
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Protective Life names chief risk officer
Insurance company Protective Life Corp. announced Dom Lebel joined the company as senior vice president and chief risk officer.
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NCB Management Services appoints legal chief
Financial services company NCB Management Services announced the appointment of Jonathan Thompson as chief legal officer.
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Lumen Technologies appoints chief legal officer
Telecommunications company Lumen Technologies announced it appointed Chad Ho as executive vice president and chief legal officer.
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News BriefFINRA enforcement roundup: Three firms fined for trade compliance lapses
The Financial Industry Regulatory Authority fined three firms—M1 Finance, Mizuho Securities, and Oppenheimer—between $250,000 and $500,000 across separate actions for failing to properly implement, monitor, and supervise internal systems that led to compliance failures.
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NextEra Energy announces chief risk officer
NextEra Energy announced Kirk Crews was appointed as executive vice president and chief risk officer.
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Optima Partners welcomes ex-RBC CCO as chief operating officer
Business management consultant Optima Partners announced the appointment of Michael Timotheou, former chief compliance officer at RBC Global Asset Management UK, as president and chief operating officer.
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OpinionFive reasons I’m excited for CW’s Financial Crimes Summit
Compliance Week’s Financial Crimes and Regulatory Compliance Summit will feature more than 50 prominent speakers representing government agencies, regulators, banks, investment advisers, and more tackling the top-of-mind risk areas facing the financial services industry.
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Southwest Airlines announces regulatory chief, general counsel
Southwest Airlines announced the promotions of Jason Van Eaton to executive vice president, chief regulatory and corporate affairs officer and Jeff Novota to vice president, general counsel and corporate secretary.
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Higher Logic appoints general counsel
Online community software provider Higher Logic announced it appointed Cheryl Brogan as general counsel.
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AST SpaceMobile welcomes legal chief
Satellite designer and manufacturer AST SpaceMobile announced the appointment of Andrew Johnson as chief legal officer.
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News BriefFinCEN warns financial institutions on Iran-backed terrorist organizations
The Financial Crimes Enforcement Network advised financial institutions in detecting illicit transactions related to Iran-backed terrorist organizations.
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News BriefSEC faults former IA Gainvest for nontailored compliance manual
A Securities and Exchange Commission action against former registered investment adviser Gainvest Legal Corp. yielded a notable takeaway for others in the industry engaging consultants for compliance program support.