All United States articles – Page 42
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News BriefCISA teases cyber incident reporting rule for critical infrastructure
Financial businesses and other critical infrastructure entities would have to report significant cybersecurity and ransomware incidents to the federal government under a new rule that will be proposed by the Cybersecurity and Infrastructure Security Agency.
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News BriefTrafigura pleads guilty, to pay $127M over FCPA violations in Brazil
Singapore-based commodity trading company Trafigura agreed to pay nearly $127 million as part of a resolution with the Department of Justice addressing violations of the Foreign Corrupt Practices Act in Brazil.
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News BriefChemours: DOJ, SEC probing exec accounting misconduct
Chemours disclosed it received requests for information from the Department of Justice and Securities and Exchange Commission regarding findings from an internal review into alleged accounting misconduct by several of its top executives.
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Moon Valley Nurseries names general counsel
Tree and plant nursery Moon Valley Nurseries announced the appointment of Michael Minnaugh to general counsel.
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Inspired Entertainment appoints general counsel
Inspired Entertainment, a business-to-business provider of gaming content, announced the appointment of Simona Camilleri as general counsel.
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Carl Marks Securities announces chief compliance officer
Broker-dealer Carl Marks Securities announced the appointment of Jon Roberts as chief compliance officer.
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Fortifi welcomes general counsel, chief compliance officer
Fortifi Food Processing Solutions appointed Robert Gibson as general counsel, chief compliance officer, and environmental health and safety lead.
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News BriefDOL orders Tuff Torq to pay $1.8M over child labor violations
The Department of Labor ordered Tennessee-based Tuff Torq Corp. to pay nearly $1.8 million over alleged child labor violations.
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News BriefFINRA orders Stifel units to pay $2.3M for repeat compliance failures
Two subsidiaries of Stifel Financial Corp. agreed to pay a collective total of about $2.3 million over alleged violations of Financial Industry Regulatory Authority rules regarding nontraditional exchange-traded products.
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Abnormal Security appoints chief legal officer
Email security platform Abnormal Security announced Jeff True joined as chief legal officer.
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DiamondRock Hospitality Company general counsel to retire
Real estate investment trust DiamondRock Hospitality Company announced Bill Tennis, its longtime executive vice president and general counsel, will retire.
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University of Washington restructures offices under CCO
The University of Washington promoted Jane Yung, who served as executive compliance and risk officer, to vice president and chief compliance and risk officer.
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John Deere adds chief legal officer
Deere & Company, a manufacturer of agricultural, construction, and forestry equipment, announced Kellye Walker will join its leadership team as senior vice president, chief legal officer and worldwide public affairs.
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PremiumOCC’s Hsu: ‘Sense of fairness’ key to bank compliance initiatives
Acting Comptroller of the Currency Michael Hsu argued banks should adopt a “strong sense of fairness” to bolster the effectiveness of their compliance programs, particularly regarding lending decisions guided by AI and machine learning tools.
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News BriefU.S. BOI efforts earn it upgraded rating from FATF
The United States’s progress on implementing the beneficial ownership information reporting requirements contained within the Corporate Transparency Act earned it praise from the intergovernmental Financial Action Task Force.
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Advisor Resource Council to pay $300K over compliance lapses
Advisor Resource Council agreed to pay a $300,000 penalty to resolve charges levied by the Securities and Exchange Commission of compliance failures exacerbated by staffing woes.
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News BriefEquinix probing short seller accusations amid DOJ scrutiny
Data center owner Equinix disclosed it launched an independent investigation to review matters referenced in a recent short seller report that also caught the attention of the Department of Justice.
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News BriefSEC charges attorney over independence violations post-compliance engagement
The Securities and Exchange Commission charged a New York-based attorney for allegedly engaging in improper conduct by violating her obligations to remain independent after preparing an independent compliance report for a company.
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Fifth Third appoints chief sustainability officer
Fifth Third Bank announced Pratik Raval as chief sustainability officer.
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Dynex Capital adds ex-DTCC risk chief to board
Financial services company Dynex Capital announced its board of directors appointed Andrew Gray, who most recently served as group chief risk officer for Depository Trust and Clearing Corp., as an independent director.