All United States articles – Page 47
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News BriefFinCEN BSA data: Fraud, money laundering top suspicious activities
The Financial Crimes Enforcement Network published its latest collection of Bank Secrecy Act data, including number and type of suspicious activity reports.
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PremiumExperts: AI risk mitigation second nature for compliance professionals
Compliance has been “sleeping on” artificial intelligence, two panelists discussed at Compliance Week’s Women in Compliance Summit. The profession should be positioned to lead on AI governance at the business level.
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PremiumOCC’s Hsu encourages banks to apply guardrails to AI use
Warning of an “eventual reckoning” on artificial intelligence use by financial institutions, the acting head of the Office of the Comptroller of the Currency said the industry should learn lessons on how similar disruptive technologies evolved from being helpful to dangerous.
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News BriefHF Foods to pay $3.9M to settle execs’ alleged fraud
Food service distributor HF Foods Group agreed to pay a $3.9 million penalty as part of a settlement with the Securities and Exchange Commission regarding alleged fraudulent conduct carried out by its former chief executive officer and former chief financial officer.
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News BriefTexas touts team ‘among the largest in the country’ to enforce privacy laws
The state of Texas forecasted “aggressive enforcement” of its upcoming data privacy law with the announcement of a dedicated team to oversee its implementation.
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News Brief‘Why us?’ SEC lists reasons it conducts examinations of broker-dealers
A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.
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News BriefBluestone Physician Services to pay $14.9M in false claims case
Bluestone Physician Services agreed to pay approximately $14.9 million and abide by a corporate integrity agreement to settle allegations that it filed false claims to federal and state health programs for chronic pain care to people in assisted living facilities.
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Azira names general counsel, chief compliance officer
Consumer behavior insights firm Azira announced the appointment of James Kuan as general counsel and chief compliance officer.
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Kain Capital hires general counsel
Private equity firm Kain Capital announced Solomon Eskinazi joined as general counsel.
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Krispy Kreme announces chief legal officer
Doughnut chain Krispy Kreme announced Atiba Adams will join the company as chief legal officer.
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Skanska appoints general counsel for U.S. business unit
Global construction and development company Skanska appointed Brian Best as senior vice president, general counsel for Skanska USA Building.
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DOCOMO PACIFIC promotes compliance chief to CEO
Telecommunications and entertainment services provider DOCOMO PACIFIC announced the promotion of Christine Baleto, its chief financial officer and chief security and compliance officer, to president and chief executive officer.
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PremiumCourt overturns SEC private fund adviser rule, calls out agency overreach
A federal appeals court struck down the Securities and Exchange Commission’s private fund adviser rule, agreeing with industry advocates that the agency overstepped its authority.
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PremiumWhat to watch for as DOJ whistleblower program sprint ends
The Department of Justice’s 90-day sprint to developing and implementing a pilot whistleblower rewards program ended Wednesday, and many questions remain about what the program will entail.
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Banner Bank promotes risk chief as chief operating officer
Banner Bank announced Executive Vice President Jim Costa was promoted to chief operating officer in addition to his role as chief risk officer.
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Heron Finance hires compliance head
Registered investment adviser Heron Finance announced it hired Michael Jen as head of compliance.
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SoFi appoints general counsel
Digital financial services provider SoFi Technologies announced Stephen Simcock as general counsel.
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Freedom Holding adds first legal chief
Financial services company Freedom Holding Corp. announced the appointment of Jason Kerr as its first chief legal officer.
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News BriefEpoch Times CFO charged in $67M money laundering scheme
The chief financial officer of the Epoch Times was charged with laundering at least $67 million in illegally obtained funds to bolster the fortunes of the newspaper and himself.
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News BriefAirbus U.S. unit dinged by BIS for antiboycott violations
Satellite communications company Airbus DS Government Solutions received a reduced penalty from the Bureau of Industry and Security for admitting self-disclosed violations of antiboycott regulations.