All United States articles – Page 74
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News Brief
RBC unit settles with FINRA over trade monitoring system lapses
RBC Capital Markets agreed to pay nearly $1.1 million as part of a settlement with the Financial Industry Regulatory Authority for failing to establish and maintain a reasonable supervisory system to monitor the suitability of short-term trading recommendations.
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News Brief
HHS teases policy changes stemming from cyber resiliency analysis
Some U.S. hospitals are falling short in protecting themselves from cyberattacks, with 29 percent of facilities recently surveyed lacking a documented GRC system, a new report from the Department of Health and Human Services found.
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News Brief
SEC fines Corvex Management $1M for SPACs conflicts
Corvex Management agreed to pay $1 million to settle allegations it failed to disclose personnel ownership in certain sponsors of special purpose acquisition companies and didn’t have policies and procedures reasonably designed to thwart conflicts of interest.
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News Brief
Bittrex charged by SEC amid U.S. departure efforts
The Securities and Exchange Commission announced charges against Seattle-based Bittrex and its co-founder and former CEO for operating an unregistered national securities exchange, broker, and clearing agency.
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Blog
Care New England names chief diversity officer
Nonprofit healthcare company Care New England announced the appointment of Kevin Martins as chief diversity officer.
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Blog
Citizens Financial Group names next chief risk officer
Citizens Financial Group announced the appointment of Richard Stein as chief risk officer, effective the first quarter of 2024.
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News Brief
Adobe to pay $3M over government kickback allegations
Adobe agreed to pay $3 million to settle allegations it paid kickbacks in an attempt to win more software purchase orders from the federal government.
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Blog
Eiger appoints general counsel, chief compliance officer
Eiger BioPharmaceuticals announced the appointment of James Vollins as general counsel, chief compliance officer, and corporate secretary.
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Blog
Temple University names chief compliance officer
Temple University announced the appointment of Susan Smith, who served as interim chief compliance officer since January, as CCO.
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Blog
Wedbush Securities appoints chief compliance officer
Financial services company Wedbush Securities announced the appointment of Matt Lisle to chief compliance officer of its futures division.
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News Brief
EDPB task force latest scrutinizing ChatGPT, AI accountability
The European Data Protection Board is the latest regulatory body assessing the applicability of ChatGPT amid skyrocketing data privacy concerns regarding the popular artificial intelligence platform.
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News Brief
OFAC sanctions International Investment Bank over Russian ties
The International Investment Bank, a multinational development institution headquartered in Hungary, was designated by the Office of Foreign Assets Control for potentially facilitating the evasion of U.S. sanctions against Russia.
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News Brief
FDIC vice chair: Access to data, employees slowed sale of SVB
The collapse of Silicon Valley Bank highlighted for the Federal Deposit Insurance Corporation some of the impediments to a quick bank sale, including failing to provide rapid access to quality financial data and lists of key employees.
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News Brief
Infinity Q founder sentenced to 15 years for fraud scheme
The former chief investment officer and founder of investment adviser Infinity Q Capital Management was sentenced to 15 years in prison and ordered to forfeit $22 million for artificially inflating the values of certain derivatives to defraud investors.
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News Brief
Former Celadon COO, CFO settle SEC accounting fraud charges for $50K
Two former executives of trucking company Celadon Group each agreed to pay $50,000 to settle charges levied by the Securities and Exchange Commission they engaged in accounting fraud to inflate the company’s earnings.
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News Brief
SEC commissioner calls out pitfalls in regulators’ structured data efforts
SEC Commissioner Hester Peirce warned about “potential pitfalls” with structured data, which regulators and lawmakers have embraced as a way to make data accessible and easy to use.
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Blog
Mather Group names chief compliance officer
Wealth management firm The Mather Group announced the appointment of Stuart Evans as chief compliance officer.
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Blog
Cenlar FSB appoints chief compliance officer
Mortgage loan subservicer Cenlar FSB announced the appointment of Marlon Groen as chief compliance officer.
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Blog
Dextra Partners names general counsel, chief compliance officer
Private equity firm Dextra Partners announced the hiring of Lorne Smith as general counsel and chief compliance officer.
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Blog
Lowe’s appoints chief legal officer
Retailer Lowe’s Companies announced the appointment of Juliette Pryor as executive vice president, chief legal officer and corporate secretary.