All United States articles – Page 61
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Blog
Fortifi welcomes general counsel, chief compliance officer
Fortifi Food Processing Solutions appointed Robert Gibson as general counsel, chief compliance officer, and environmental health and safety lead.
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News BriefDOL orders Tuff Torq to pay $1.8M over child labor violations
The Department of Labor ordered Tennessee-based Tuff Torq Corp. to pay nearly $1.8 million over alleged child labor violations.
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News BriefFINRA orders Stifel units to pay $2.3M for repeat compliance failures
Two subsidiaries of Stifel Financial Corp. agreed to pay a collective total of about $2.3 million over alleged violations of Financial Industry Regulatory Authority rules regarding nontraditional exchange-traded products.
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Blog
Abnormal Security appoints chief legal officer
Email security platform Abnormal Security announced Jeff True joined as chief legal officer.
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Blog
DiamondRock Hospitality Company general counsel to retire
Real estate investment trust DiamondRock Hospitality Company announced Bill Tennis, its longtime executive vice president and general counsel, will retire.
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Blog
University of Washington restructures offices under CCO
The University of Washington promoted Jane Yung, who served as executive compliance and risk officer, to vice president and chief compliance and risk officer.
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Blog
John Deere adds chief legal officer
Deere & Company, a manufacturer of agricultural, construction, and forestry equipment, announced Kellye Walker will join its leadership team as senior vice president, chief legal officer and worldwide public affairs.
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PremiumOCC’s Hsu: ‘Sense of fairness’ key to bank compliance initiatives
Acting Comptroller of the Currency Michael Hsu argued banks should adopt a “strong sense of fairness” to bolster the effectiveness of their compliance programs, particularly regarding lending decisions guided by AI and machine learning tools.
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News BriefU.S. BOI efforts earn it upgraded rating from FATF
The United States’s progress on implementing the beneficial ownership information reporting requirements contained within the Corporate Transparency Act earned it praise from the intergovernmental Financial Action Task Force.
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News Brief
Advisor Resource Council to pay $300K over compliance lapses
Advisor Resource Council agreed to pay a $300,000 penalty to resolve charges levied by the Securities and Exchange Commission of compliance failures exacerbated by staffing woes.
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News BriefEquinix probing short seller accusations amid DOJ scrutiny
Data center owner Equinix disclosed it launched an independent investigation to review matters referenced in a recent short seller report that also caught the attention of the Department of Justice.
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News BriefSEC charges attorney over independence violations post-compliance engagement
The Securities and Exchange Commission charged a New York-based attorney for allegedly engaging in improper conduct by violating her obligations to remain independent after preparing an independent compliance report for a company.
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Blog
Fifth Third appoints chief sustainability officer
Fifth Third Bank announced Pratik Raval as chief sustainability officer.
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Blog
Dynex Capital adds ex-DTCC risk chief to board
Financial services company Dynex Capital announced its board of directors appointed Andrew Gray, who most recently served as group chief risk officer for Depository Trust and Clearing Corp., as an independent director.
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Blog
Cirba Solutions announces legal chief
Battery recycling and battery materials company Cirba Solutions announced the appointment of Jake Wilson as chief legal officer.
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Blog
ATI names general counsel, chief compliance officer
ATI, a producer of materials and solutions for the global aerospace and defense markets, named Vaishali Bhatia as senior vice president, general counsel and chief compliance officer.
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Blog
Phoenix Merchant Partners welcomes general counsel
Independent investment firm Phoenix Merchant Partners announced the addition of Rafael Colorado as chief operating officer and general counsel.
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Premium
FDIC proposes strengthening, modernizing bank merger reviews
The Federal Deposit Insurance Corporation proposed to strengthen its approach to evaluating bank mergers under the Bank Merger Act, particularly how it would address factors like competition, financial resources, the convenience and needs of communities, financial stability, and money laundering.
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News BriefDOT launches first data privacy review of 10 biggest airlines
The U.S. Department of Transportation is looking to thwart the nation’s 10 largest airlines from monetizing passenger data or selling it to third parties.
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News BriefBIS rule expands export control restrictions on OFAC sanctioned entities
The Bureau of Industry and Security adopted a final rule to extend its export restrictions across more entities and individuals designated under certain sanctions programs maintained by the Office of Foreign Assets Control.