All United States articles – Page 45
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News BriefFinCEN warns of fake U.S. passport cards used to commit fraud
The Financial Crimes Enforcement Network is warning financial institutions of counterfeit U.S. passport cards used to commit fraud and identity theft.
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Blog
Patriot National Bancorp names acting risk, compliance chief
Patriot National Bancorp disclosed Joshua Oliver will be acting chief risk and compliance officer upon the resignation of Judith Corprew.
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Blog
Cushman & Wakefield appoints first sustainability chief
Global real estate services firm Cushman & Wakefield announced the appointment of Jessica Francisco as its first chief sustainability officer.
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Blog
Digimarc announces chief legal officer
Digital watermarking technologies company Digimarc Corp. announced George Karamanos joined the company as chief legal officer.
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Blog
Valet Living names chief legal and compliance officer
Residential amenities provider Valet Living promoted Isorys Dilone to chief legal and compliance officer.
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News BriefFINRA orders Barclays unit to pay $700K over conflicts of interest
A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades.
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News BriefU.S., U.K. ban new Russian metal imports
The U.S. Treasury Department, in coordination with the United Kingdom, is clamping down harder on Russia’s ability to wage war against Ukraine by banning the import of Russian-origin aluminum, copper, and nickel.
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Blog
Clario appoints chief legal officer
Healthcare research and technology company Clario announced the appointment of Julia James as chief legal and administrative officer.
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Blog
IonQ welcomes new legal chief
Quantum computing company IonQ announced the appointment of Stacey Giamalis as chief legal officer and corporate secretary.
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Blog
Corning adds general counsel
Corning Incorporated, a company that specializes in glass and ceramic technologies, announced Michaune Tillman joined as senior vice president and general counsel.
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Blog
Leslie’s names general counsel
Leslie’s, a retailer of swimming pool and spa care supplies, announced the appointment of Benjamin Lindquist as senior vice president, general counsel and corporate secretary.
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Blog
Arizona College of Nursing appoints chief compliance officer
Arizona College of Nursing announced Dominick Muracco joined the organization as chief compliance officer and general counsel.
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Premium‘You have to sell compliance’: Tips for building compliance programs from scratch
A panel of experienced compliance professionals shared the various approaches they took to build compliance programs from the ground up at Compliance Week’s 2024 National Conference.
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News BriefSEC fines five investment advisers in marketing rule sweep
Five registered investment advisers agreed to pay a total of $200,000 in penalties for allegedly violating the Securities and Exchange Commission’s amended marketing rule.
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PremiumJBS CECO on overcoming ‘fear, anxiety, and chaos’ of taking job post-FCPA settlements
Mike Koenig explained at Compliance Week’s 2024 National Conference how he helped rebuild JBS Foods’ compliance department following Foreign Corrupt Practices Act settlements with the Department of Justice and Securities and Exchange Commission.
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News BriefDOJ lawsuit charges Regeneron with inflating Medicare costs
New York-based Regeneron Pharmaceuticals is being sued by the Department of Justice for allegedly flouting Medicare’s price reporting requirements.
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PremiumEffective risk culture starts at the top. Everyone is required to make it successful
There is no magic wand compliance professionals can wave to promote a strong risk culture within their organizations, experts discussed at Compliance Week’s 2024 National Conference.
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PremiumCFTC enforcement head talks steep path to self-reporting credit
Earning self-reporting credit from the Commodity Futures Trading Commission is no simple task, Director of Enforcement Ian McGinley conceded.
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News BriefTreasury proposal seeks to expand CFIUS enforcement authority
A proposal by the Treasury Department would allow the Committee on Foreign Investment in the United States to seek more information as part of its review activities and enable “substantially” larger penalties in instances of noncompliance with relevant regulations.
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OpinionHighlights from Compliance Week 2024
Compliance officers took to the main stage to share their experiences at Compliance Week’s 2024 National Conference, while other highlights included conversations around artificial intelligence and the modern challenges the industry is confronting.