All United States articles – Page 47
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Blog
Zendesk announces chief legal officer
Software company Zendesk announced Shana Simmons joined as chief legal officer.
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News BriefSenvest latest rapped by SEC over off-channel comms
Registered investment adviser Senvest Management agreed to pay $6.5 million as part of a settlement with the Securities and Exchange Commission addressing admitted off-channel communications violations and separate code of ethics failures.
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News BriefCFTC lauds Australian swap dealer’s cooperation in $500K enforcement
The Commodity Futures Trading Commission ordered an Australian swap dealer to pay $500,000 over admitted supervision failures related to a deficient spoofing surveillance tool.
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PremiumEx-Albemarle CCO shares drivers behind data analytics success at CW2024
Former Albemarle CCO Andrew McBride explained at Compliance Week’s 2024 National Conference how he led the company’s compliance department to remediate the issues that led to apparent FCPA violations and how the team used data analytics to assess risks and implement compliance solutions.
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PremiumAI expert at CW2024: Why AI needs compliance
If there was one takeaway Diana Kelley offered during her keynote address at Compliance Week’s 2024 National Conference, it was that artificial intelligence tools—especially generative AI—need compliance.
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Gamida Cell chief compliance officer to depart
Cell therapy company Gamida Cell announced General Counsel and Chief Compliance Officer Josh Patterson will depart the company.
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Standard Insurance Company names chief risk officer
Standard Insurance Company announced Lauren Canfield, assistant vice president and actuary in actuarial transformation, will become vice president, corporate actuary and chief risk officer.
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Olympus Corporation of the Americas announces general counsel
Optical technology manufacturer Olympus Corporation of the Americas announced David Gomez was promoted to corporate general counsel.
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Mercy names new legal chief
Healthcare system Mercy named Jennifer Brown chief legal officer and senior vice president.
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NewtekOne hires chief risk officer
Financial holding company NewtekOne announced it hired Taylor Quinn as senior vice president, chief risk officer for NewtekOne and Newtek Bank, N.A.
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News BriefEbix: SEC probe into short seller claims closed
Ebix announced the Securities and Exchange Commission closed an investigation into allegations against the software company’s accounting practices raised in a short seller report.
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PremiumCW2024 keynote tackles fundamentals of fraud detection
“If you want to start to know who’s lying to you, all you got to do is pay attention differently,” advised body language expert Traci Brown during her opening keynote at Compliance Week’s 2024 National Conference.
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PremiumDOJ commodities trader FCPA sweep offers lessons in cooperation
The value the Department of Justice places on cooperation can be measured by studying penalties and agreements resulting from the agency’s long-running investigation into bribery and corruption by oil traders operating in Latin America and Africa.
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News BriefDOJ antitrust scrutiny pushes out 2 WBD board directors
Two directors on the board at media giant Warner Bros. Discovery resigned after the Department of Justice raised antitrust concerns regarding their similar positions on the board of Charter Communications.
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News BriefAT&T: Data leak exposed info of 73M customers onto dark web
AT&T said personal account data on approximately 73 million current and former customers was released on the dark web two weeks ago but has not yet identified when and where the breach occurred.
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Ausdal Financial Partners welcomes general counsel
Securities broker-dealer Ausdal Financial Partners announced Dan Hetzel as its new general counsel.
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WHY Brands hires general counsel
WHY Brands, a portfolio of lifestyle brands and businesses, announced the appointment of Joseph Berkowitz as general counsel and corporate secretary.
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Kindbody adds first chief compliance officer
Fertility clinic network Kindbody announced the appointment of Tim Springer as its first chief compliance officer.
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SIGA Technologies names general counsel
SIGA Technologies, a commercial-stage pharmaceutical company focused on health security and infectious diseases, announced the appointment of Larry Miller as general counsel.
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PremiumCBP stats show persistent problem areas under UFLPA
It’s been nearly two years since the Uyghur Forced Labor Prevention Act took effect, and as enforcement statistics and recent reports demonstrate, many businesses are still not adequately vetting their supply chains.