All United States articles – Page 50
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PremiumToeing the ‘fine line’ of cloud security compliance
When organizations move their data or operations to the cloud, the compliance team has their work cut out and then some, experts discussed at CW’s Cyber Risk & Data Privacy Summit.
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News BriefFinCEN: BSA data shows spike in crypto-financed human trafficking
Bank Secrecy Act reporting data disclosed by the Financial Crimes Enforcement Network revealed a significant spike in the use of cryptocurrency to finance human trafficking.
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Forward Air announces legal chief as interim CEO
Forward Air Corp., a provider of transportation services, appointed its Chief Legal Officer and Secretary Michael Hance as interim chief executive officer.
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Starlab Space appoints general counsel
Starlab Space, a transatlantic joint venture between Voyager Space and Airbus, announced Thomas Ayres will be its general counsel.
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AccuWeather appoints general counsel
Weather forecasting services provider AccuWeather appointed Rushelle Bailey as general counsel.
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News BriefZoetis says no action from OFAC in Iran sanctions matter
Zoetis, a developer and manufacturer of vaccines and medicines for animals, disclosed it was informed by the Office of Foreign Assets Control that it won’t face enforcement for potential violations of Iran sanctions uncovered during an acquisition integration.
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PremiumFinCEN to propose applying BSA requirements to investment advisers
The Financial Crimes Enforcement Network will propose categorizing investment advisers as financial institutions that must comply with the Bank Secrecy Act, including having an anti-money laundering program.
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PremiumExperts: SCOTUS ruling shifts onus to employers in whistleblower cases
The Supreme Court’s unanimous decision to reaffirm whistleblower protections under the Sarbanes-Oxley Act in a case involving UBS has wide ramifications in many other industries beyond financial services, according to legal experts.
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News BriefInsurance broker Gallagher off hook in DOJ FCPA probe
Arthur J. Gallagher disclosed the Department of Justice ended an investigation into the insurance broker’s business in Ecuador for potential violations of the Foreign Corrupt Practices Act.
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State Department Federal Credit Union welcomes risk chief
State Department Federal Credit Union announced the appointment of Nicole Bowen as its new chief risk officer.
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COSO chair named first executive director
The Committee of Sponsoring Organizations of the Treadway Commission announced its chair, Lucia Wind, will also serve as the organization’s first executive director.
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News BriefSCOTUS reaffirms whistleblower protections in ruling against UBS
The Supreme Court reaffirmed whistleblower protections guaranteed under the Sarbanes-Oxley Act in a unanimous decision expected to set a precedent that impacts all corporate internal reporting cases.
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Advarra names general counsel
Clinical research review services firm Advarra announced the hiring of Marco Capasso as general counsel and secretary of the board.
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Altria Group announces new general counsel
Tobacco products company Altria Group announced the appointment of Robert McCarter as executive vice president and general counsel.
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Covenant Clearinghouse hires general counsel
Covenant Clearinghouse, a servicer of real estate assessments, welcomed Jeff Johnson as in-house general counsel.
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Kimberly-Clark appoints general counsel
Kimberly-Clark Corp., manufacturer and marketer of personal care and household products, announced the appointment of Grant McGee as senior vice president and general counsel.
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News BriefLatest SEC off-channel comms sweep nets $81M in fines against 16 firms
The ongoing off-channel communications sweep by the Securities and Exchange Commission netted 16 more broker-dealers and investment advisers, with the latest wave of fines totaling more than $81 million.
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PremiumTable: SEC, CFTC off-channel communications penalties
The Securities and Exchange Commission and Commodity Futures Trading Commission have combined to levy nearly $3.5 billion in penalties (so far) against firms and their affiliates in response to recordkeeping failures regarding employee use of off-channel communications for business purposes.
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News BriefSEC, CFTC adopt rule for enhanced large hedge fund disclosures
Large hedge fund advisers will be required to disclose more information on their investment strategies, investment exposure, operations, and more as part of a rule change jointly adopted by the Securities and Exchange Commission and Commodity Futures Trading Commission.
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PremiumAnti-fraud groups praise FinCEN AML proposal for real estate transactions
The Financial Crimes Enforcement Network issued a notice of proposed rulemaking that would require the handlers of all-cash residential real estate transactions in all U.S. cities and counties to disclose the beneficial owners.