All United States articles – Page 54
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Blog
Kensington Asset Management appoints compliance chief
Kensington Asset Management welcomed Steven Chang as its new chief compliance officer.
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American Coastal Insurance announces compliance, risk chief
American Coastal Insurance Corp. promoted J. Andy Gray to the newly created position of chief compliance and risk officer.
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Ardent Mills adds general counsel, chief compliance officer
Flour supplier Ardent Mills announced Kate Kimball as general counsel, corporate secretary, and chief compliance officer.
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PremiumNew DOJ cyber section wants more private sector partnership
Cooperation between businesses and the new cybersecurity section at the Department of Justice has led to the successful defanging of numerous, major ransomware operations worldwide in just the few months since its creation, according to its chief.
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News BriefFINRA report highlights crypto communication violations
The Financial Industry Regulatory Authority announced it uncovered potential violations of its disclosure rules in 70 percent of crypto asset communications reviewed during a targeted exam.
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Grove Collaborative adds general counsel
Sustainable consumer products company Grove Collaborative Holdings announced the appointment of Scott Giesler as general counsel.
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Alta Equipment Group announces legal chief, general counsel
Construction equipment supplier Alta Equipment Group appointed Jeff Hoover as chief legal officer and general counsel.
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R&T Deposit Solutions names chief risk officer
R&T Deposit Solutions, a provider of services to financial institutions, announced it appointed Jason Mull as executive vice president, chief risk officer and chief information security officer.
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Leidos appoints general counsel
Science and technology company Leidos announced the appointment of Dan Antal as general counsel.
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PRA Group to add CCO from TransUnion
PRA Group, an acquirer and collector of nonperforming loans, announced the appointment of Keith Warren as chief risk and compliance officer.
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Tris Pharma appoints chief compliance officer
Tris Pharma announced the appointment of Franchesca Fowler as chief compliance officer and vice president, general counsel.
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News BriefADM puts CFO on leave pending accounting probe
Food processing company ADM announced Chief Financial Officer Vikram Luthar was placed on administrative leave pending an investigation into accounting practices and procedures flagged by the Securities and Exchange Commission.
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News BriefNYDFS: Banks must vet execs, including CCOs, ‘not just upon hiring’
The New York State Department of Financial Services released final guidance on how banks and non-depository financial institutions should vet executives, including chief compliance officers, before and during their employment.
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PremiumSEC-approved spot bitcoin ETFs come with unique compliance risks
The Securities and Exchange Commission’s approval of spot bitcoin exchange-traded funds will provide investors with the same access to bitcoin, bought for cash on the spot market, as they currently have to other investments—for better or worse.
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News BriefHilcorp San Juan to pay $35M for royalty payment false claims
Hilcorp San Juan agreed to pay $34.6 million as part of a settlement with the Department of Justice addressing allegations of False Claims Act violations regarding underpaid royalties on oil and natural gas produced from federal lands.
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News BriefWells Fargo unit fined $425K by FINRA over trade disclosures
Wells Fargo Securities agreed to pay a $425,000 penalty as part of a settlement with the Financial Industry Regulatory Authority addressing allegations of disclosure lapses affecting millions of trade confirmations and related supervisory failures.
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PremiumOFAC official urges company transparency on ransomware events
Despite its reputation as a fierce enforcer of sanctions, the Office of Foreign Assets Control has a softer side and wants to help companies that are hit with ransomware attacks, according to the agency’s senior compliance officer.
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News BriefVF discloses data breach impacted 35.5M customers
Apparel company VF Corp., the owner of brands including The North Face, Vans, and Timberland, disclosed its estimation approximately 35.5 million customers had their personal data stolen as part of a cybersecurity incident it uncovered in December.
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News BriefICBC fined $32M by NYDFS, Fed over compliance lapses
The Industrial and Commercial Bank of China and its New York branch agreed to pay $32.4 million in penalties levied by two regulators for failing to address compliance failures and for the unauthorized disclosure of confidential supervisory information to an overseas regulator.
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Brown-Forman announces new general counsel
Alcoholic beverage company Brown-Forman Corp. announced Mike Carr, vice president, associate general counsel for regional and corporate development, will be promoted to general counsel.