All United States articles – Page 52
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News BriefNYDFS offers cyber rule compliance template for small businesses
The New York State Department of Financial Services issued guidance for small businesses attempting to comply with its cybersecurity regulations.
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News BriefPCAOB reestablishes its fundamentals with new standards
The Public Company Accounting Oversight Board adopted two new standards that address key audit areas upon which it was relying on benchmarks established more than 20 years ago.
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PremiumSurvey: Public companies fear added cyber risks from SEC disclosures
Large public companies say they are prepared to comply with the disclosure requirements of the SEC’s new cybersecurity incident rule, according to a survey conducted by Compliance Week and DLA Piper, but concerns exist that those reports could enhance the threat of future cyberattacks.
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News BriefSEC, FinCEN propose customer ID program for investment advisers
The Securities and Exchange Commission and Financial Crimes Enforcement Network proposed a rule requiring registered investment advisers to implement customer identification programs, another facet of a coordinated attempt to close an apparent loophole in federal AML regulations.
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News BriefFSOC warns on liquidity risk by nonbank mortgage servicers
A new report by the Financial Stability Oversight Council recommended state regulators and Congress take steps to minimize “significant liquidity risk” posed by the nonbank mortgage servicing industry.
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News BriefLawsuit: Ex-Panoramic Health assistant GC alleges retaliation linked to CCO supervisor
The former assistant general counsel at Panoramic Health is suing her former employer alleging wrongful termination after flagging safe harbor violations of the Anti-Kickback Statue.
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News BriefFAT Brands on defense over DOJ, SEC accounting misconduct allegations
Restaurant operator FAT Brands said it would contest charges announced by the Department of Justice regarding violations of the Sarbanes-Oxley Act related to personal loans made to executive officers.
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Sculptor Capital names chief compliance officer
The board of directors of Sculptor Capital Management appointed Colleen Kilfoyle to serve as chief compliance officer.
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Rithm Capital recruits ex-Sculptor Capital CCO as legal chief
Investment management company Rithm Capital announced David Zeiden was appointed chief legal officer.
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Probo Medical hires general counsel
Global diagnostic imaging solutions provider Probo Medical announced the hiring of Ashlyn Jennings as chief administrative officer and general counsel.
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STAAR Surgical announces general counsel
Medical equipment manufacturer STAAR Surgical Company announced Nathaniel Sisitsky was named general counsel.
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Elite appoints chief legal officer
Elite, which provides financial management and business operations solutions to law firms, announced it appointed Stephanie Milikh as chief legal officer and corporate secretary.
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News BriefDOJ launches task force on anticompetitive practices in healthcare
The Department of Justice’s Antitrust Division created a new task force to examine collusion and monopolies in the healthcare industry.
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News BriefFed-led climate scenario analysis highlights data gaps, insurance costs
The Federal Reserve Board and six large American banks released the results of a pilot climate scenario analysis that explored how resilient the banks’ business models were to climate-related financial risks.
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News BriefFINRA fines Merrill Lynch $825K over order execution supervision lapses
Merrill Lynch was assessed an $825,000 penalty by the Financial Industry Regulatory Authority for alleged supervision failures regarding the execution of marketable equity orders entered into its electronic order systems.
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BHI appoints chief risk and compliance officer
BHI, the U.S. division of Israel-based Bank Hapoalim, appointed Nisan Blum as chief risk and compliance officer.
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TRAC Intermodal adds legal chief
TRAC Intermodal, a marine chassis provider and pool manager, announced Katherine Whalen is joining as executive vice president and chief legal officer.
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Protective Life names chief risk officer
Insurance company Protective Life Corp. announced Dom Lebel joined the company as senior vice president and chief risk officer.
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NCB Management Services appoints legal chief
Financial services company NCB Management Services announced the appointment of Jonathan Thompson as chief legal officer.
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Lumen Technologies appoints chief legal officer
Telecommunications company Lumen Technologies announced it appointed Chad Ho as executive vice president and chief legal officer.