All United States articles – Page 54
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Blog
German American Bancorp names chief legal officer
German American Bancorp announced the appointment of Bradley Arnett as senior vice president, chief legal officer, and corporate secretary.
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Big Tech wants AI ‘referee,’ but lawmakers differ on approach to regs
Federal lawmakers shined a spotlight on artificial intelligence this week, raising the possibility that Congress will—eventually—legislate some controls on the burgeoning technology should middle ground be found.
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Blog
U.S. Foods appoints general counsel
U.S. Foods Holding Corp. announced the appointment of Martha Ha as executive vice president and general counsel, effective Sept. 25.
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Blog
Spearmint Energy names general counsel
Spearmint Energy announced the appointment of Tara Young as general counsel.
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News Brief
Dermatology manager to pay $8.9M in self-reported false claims case
Oliver Street Dermatology Management, doing business as U.S. Dermatology Partners, agreed to pay nearly $8.9 million to settle allegations by the Department of Justice regarding apparent violations of the False Claims Act.
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SEC’s Gensler mum on timing of climate rule, says ‘important issues’ around Scope 3 requirements
Gary Gensler, despite being put on the spot by a member of Congress, declined to provide an update on when the Securities and Exchange Commission might approve its climate-related disclosure rule for public companies.
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Blog
Fintech Dave appoints chief legal officer
Financial technology company Dave announced the appointment of Joan Aristei to chief legal officer.
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News Brief
HHS orders L.A. Care to pay $1.3M over apparent HIPAA violations
L.A. Care Health Plan agreed to pay $1.3 million to settle allegations by the U.S. Department of Health and Human Services it potentially violated the Health Information Portability and Accountability Act.
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Blog
Pace University names chief diversity officer
Pace University announced the appointment of Stephanie Akunvabey as associate vice president for diversity and inclusion and chief diversity officer.
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News Brief
Orthofix ousts top execs for ‘offensive conduct’; CECO among interim successors
Orthofix Medical announced a shake-up of its C-suite after an investigation uncovered “repeated inappropriate and offensive conduct” by top executives that forced the company to fire them for cause.
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News Brief
Yieldstreet to pay $1.9M over securities offering disclosure lapses
Yieldstreet and its investment adviser affiliate agreed to pay more than $1.9 million as part of a settlement with the Securities and Exchange Commission addressing allegations the firm did not disclose heightened risks regarding a $14.5 million asset-backed securities offering.
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News Brief
SEC fines Maximus $500K for not disclosing pay of exec’s siblings
Government healthcare services corporation Maximus settled with the Securities and Exchange Commission for allegedly failing to disclose an executive’s two siblings were also employed by the company and received annual compensation of more than $120,000.
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News Brief
Virtu sued by SEC over customer information protections
Virtu Financial and its broker-dealer affiliate Virtu Americas face a lawsuit filed by the Securities and Exchange Commission alleging the company misled its customers regarding its safeguards to protect their information contained in its trading business database.
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Q&A: Paxos CCO on defying stereotype of lax controls in digital asset industry
Carolina Ceballos, the first full-time chief compliance officer at Paxos, shares with Compliance Week what the blockchain infrastructure platform does, its culture, and how it uses compliance as a competitive advantage.
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News Brief
Mortgage industry adviser fined $100K over long-running compliance lapses
Mortgage Industry Advisory Corp. agreed to pay $100,000 to settle allegations levied by the Securities and Exchange Commission it failed to adopt and implement written compliance policies and procedures, conduct annual reviews, and establish and enforce a code of ethics.
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News Brief
FINRA fines Citigroup unit $250K over trade designations
Citigroup Global Markets was fined $250,000 by the Financial Industry Regulatory Authority regarding inaccurate trade confirmations to customers.
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News Brief
SEC fines nine in first marketing rule violation sweep
Nine investment advisers agreed to pay a total of $850,000 in penalties across separate settlements with the Securities and Exchange Commission addressing alleged violations of the agency’s amended marketing rule.
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News Brief
SEC fines former Marcum partner for causing control failures
An ex-partner at Marcum agreed to pay $75,000 to settle charges by the Securities and Exchange Commission he failed to remediate numerous quality control deficiencies magnified by the audit firm’s special purpose acquisition company client boom.
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News Brief
DOJ appoints leaders for corporate enforcement program
The Department of Justice announced new positions in its National Security Division to support the agency’s crackdown on sanctions evasion, export control violations, and other forms of economic crime.
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California cybersecurity audit rule scope begins taking shape at CPPA meeting
A final version of California’s cybersecurity audit rules likely won’t be released until later next year at the earliest, according to a rough timeline discussed by the California Privacy Protection Agency.