All United States articles – Page 69
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News BriefCFTC proposes guidance for voluntary carbon credits
The Commodity Futures Trading Commission promoted the need for developing high-integrity voluntary carbon markets in publishing proposed guidance for the listing of voluntary carbon credit derivative contracts.
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PremiumDOJ cooperation credit breakdowns: Albemarle, Tysers, H.W. Wood
Nicole Argentieri, acting head of the Department of Justice’s Criminal Division, breaks down where Albemarle, Tysers Insurance Brokers, and H.W. Wood went right—and wrong—on the cooperation credit and remediation fronts as part of their FCPA settlements with the agency.
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PremiumThe road from CCO to board: What compliance professionals need to know
Chief compliance officers and chief ethics and compliance officers desire progressing to the board more than any other role change, our “Inside the Mind of the CCO” survey found. So, what does it take for compliance to get on a corporate board?
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Blog
Petauri Health appoints general counsel
Pharmaceutical services platform Petauri Health announced the appointment of Nicole Kline as vice president, general counsel.
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CGT Staffing adds chief diversity officer
CGT Staffing announced the appointment of Robert James as chief diversity and strategic growth officer.
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Viridi recruits first sustainability chief from Honeywell
Fail-safe battery technology developer Viridi appointed Evan van Hook as its first chief sustainability officer.
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Sempra announces new risk and compliance head
Energy infrastructure firm Sempra appointed its Chief Financial Officer Trevor Mihalik as group president, a role in which he’ll have responsibility for risk and compliance.
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UMass appoints general counsel
The University of Massachusetts announced David Lowy will become its next general counsel.
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Orion Group Holdings names general counsel, CCO
Construction company Orion Group Holdings announced the appointment of Edward Chipman Earle as executive vice president, general counsel, chief administrative officer, chief compliance officer, and corporate secretary.
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PremiumAutomated decision-making tech rules added to crowded CPPA agenda
The California Privacy Protection Agency drafted its rules to apply the rights allowed to residents under the California Consumer Privacy Act to automated decision-making technology used by businesses.
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News BriefMallinckrodt dodges $40M SEC penalty in disclosure violation case
Pharmaceutical company Mallinckrodt, fresh out of its second bankruptcy, was spared having to pay a $40 million penalty levied by the Securities and Exchange Commission for alleged disclosure and accounting failures related to its underpaying of Medicaid rebates.
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Blog
Bogota Financial promotes risk chief to CEO
Bogota Financial Corp., holding company of Bogota Savings Bank, announced Kevin Pace, executive vice president and chief risk officer of parent company MHC, was named president and chief executive officer.
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Sutter Health names first chief diversity and inclusion officer
Sutter Health announced the appointment of Dana Beckton as its first chief diversity and inclusion officer.
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News BriefDOJ announces international anti-bribery initiative
The Department of Justice will increase its efforts to build relationships and foster collaboration with its global counterparts to thwart bribery and corruption under a new strategy.
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LPL Financial names chief compliance officer
LPL Financial announced the appointment of Jim McHale as executive vice president and chief compliance officer.
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Autodesk announces first chief sustainability officer
Autodesk, a provider of 3D design, engineering, and construction software, announced the appointment of Joe Speicher as the company’s first chief sustainability officer.
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The Hartford names new general counsel
Insurance giant The Hartford promoted its Deputy General Counsel and Corporate Secretary Don Hunt to general counsel and head of law, compliance, and government affairs.
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Modern Wealth Management appoints chief compliance and legal officer
Modern Wealth Management announced the hiring of J.P. Rankin as chief compliance and legal officer.
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News BriefBank of America unit fined $24M in FINRA spoofing case
Bank of America Securities agreed to pay $24 million in settling with the Financial Industry Regulatory Authority for allegedly failing to supervise the “spoofing” activities of two former traders in U.S. Treasury markets.
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PremiumOne company’s voluntary self-disclosure, two companies’ FCPA settlements
Nicole Argentieri, acting head of the Department of Justice’s Criminal Division, explained how the actions of Jardine Lloyd Thompson Group Holdings coming forward helped bring about the agency’s recent FCPA enforcements against Tysers Insurance Brokers and H.W. Wood.