All United States articles – Page 56
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Blog
Cargill announces new legal, compliance chief
Food corporation Cargill announced Rishi Varma was named corporate senior vice president, chief legal and compliance officer and corporate secretary. In this role, he will also serve as general counsel.
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News BriefGenesis Global Trading fined $8M by NYDFS over AML, cyber lapses
Virtual currency brokerage firm Genesis Global Trading agreed to pay an $8 million penalty levied by the New York State Department of Financial Services for alleged compliance failures that left it vulnerable to illicit activity and cybersecurity threats.
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News BriefJPMorgan to pay record $18M for violating SEC whistleblower rule
A subsidiary of JPMorgan Chase will pay an $18 million fine to the Securities and Exchange Commission for allegedly violating the agency’s whistleblower protection rule in hundreds of settlement agreements with clients and customers.
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PremiumLessons from Albemarle, ABB: How data-driven compliance can help your firm
Andrew McBride, chief risk officer of Albemarle Corp., and Tapan Debnath, head of integrity, regulatory affairs and data privacy at ABB, discussed how and why their respective organizations use data analytics to conduct business as part of a recent webcast.
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News BriefGDPR-minded Microsoft offers cloud customers EU-based personal data storage
Microsoft announced an expansion to its European Union data storage efforts that would allow cloud customers to keep all personal data stored within the EU boundary.
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News BriefMorgan Stanley to pay $249M in SEC, DOJ fraud settlements
Morgan Stanley agreed to pay approximately $249 million as part of settlements with the Securities and Exchange Commission and Department of Justice to resolve an admitted fraud scheme involving block trades perpetrated, in part, by a former senior employee at the firm.
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Blog
PCAOB announces general counsel
The Public Company Accounting Oversight Board announced the appointment of James Cappoli as general counsel.
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Correlate Energy names ex-Redwood Materials CCO to board
Energy-minded real estate platform Correlate Energy Corp. appointed Alina Zagaytova, the former general counsel, corporate secretary, and chief compliance officer of Redwood Materials, to serve as a member of its board of directors.
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Blog
KeyCorp names chief risk officer
Financial services company KeyCorp announced Darrin Benhart, deputy chief risk officer, was named the bank’s chief risk officer.
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Blog
Lendmark appoints chief audit and compliance officer
Lendmark Financial Services appointed Becky Larrison as chief audit and compliance officer.
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News BriefRDx Bioscience, CEO settle kickback case for $13M
New Jersey-based clinical laboratory RDx Bioscience and its chief executive officer agreed to pay more than $13 million to the Department of Justice to settle illegal kickback allegations.
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PremiumNIST report: Mitigating the risks of cyberattacks on AI systems
Cyberattacks on artificial intelligence systems are increasing, so it’s important users know their vulnerabilities and try to soften the damage if they get hit, according to a new report by the National Institute of Standards and Technology.
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News BriefSEC risk alert flags observed deficiencies at security-based swap dealers
A new risk alert from the Securities and Exchange Commission highlighted common deficiencies and weaknesses in the compliance programs of security-based swap dealers.
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News BriefSDNY launches whistleblower pilot program
The U.S. Attorney’s Office for the Southern District of New York took its efforts to encourage voluntary self-disclosure a step further with the launch of a whistleblower pilot program for individuals involved in nonviolent offenses.
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Oak Valley Community Bank announces risk chief
Oak Valley Community Bank announced the appointment of Kim Booke as executive vice president, chief risk officer.
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Personal Care Products Council appoints general counsel
Trade association the Personal Care Products Council announced Emily Manoso’s appointment as executive vice president, legal and regulatory affairs and general counsel.
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Blog
N.C. Department of Insurance promotes general counsel to operating chief
North Carolina Department of Insurance has promoted General Counsel A. John Hoomani to chief operating officer.
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Blog
Greenbrier announces legal, compliance chief
Transportation manufacturing and freight services provider Greenbrier appointed Christian Lucky as senior vice president, chief legal and compliance officer.
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Blog
Lincoln Peak Capital adds chief compliance officer
Investment firm Lincoln Peak Capital announced Austin McClintock joined as chief compliance officer.
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PremiumDeepfakes: A silent threat to digital integrity and AML efforts
Deepfakes have emerged in the digital world as a silent pandemic threatening not only our digital integrity but becoming a major risk to anti-money laundering efforts.