All United States articles – Page 77
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Blog
LuxUrban Hotels promotes general counsel, CCO to corporate secretary
LuxUrban Hotels announced the promotion of Matthew Ulmann, its general counsel and chief compliance officer, to corporate secretary.
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Blog
Trident United Way recruits Fetter Health CCO as chief impact officer
Social services organization Trident United Way announced the appointment of Fetter Health Network Chief Operations and Compliance Officer Natasha Chatman as its chief impact officer.
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NB Tech Acquisitions announces chief compliance officer
Newport Beach Tech Acquisitions announced Savanna Spieckerman was appointed chief compliance officer.
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LCPtracker appoints chief legal officer
Prevailing wage and construction site compliance solutions provider LCPtracker announced the appointment of Mick Galvin as chief legal officer.
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Harpoon Therapeutics adds legal chief
Harpoon Therapeutics announced the appointment of James Bucher as chief legal officer.
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Olympus names global general counsel
Medical technology company Olympus announced the appointment of Neil Boyden Tanner as global general counsel.
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Vista Equity Partners promotes legal, compliance chiefs to senior managing director
Investment firm Vista Equity Partners announced the promotions of Chief Compliance Officer Gwen Reinke and Chief Legal Officer Alan Schwartz to senior managing director.
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News BriefNYDFS issues guidance for responding to climate-related risks
The New York State Department of Financial Services issued guidance to regulated banking and lending institutions on managing material financial and operational risks related to climate change.
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News BriefCMMC implementation plan takes shape in proposed rule
The Department of Defense released for comment a proposed rule setting guidelines for implementation of the Cybersecurity Maturity Model Certification program.
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Disney general counsel named chief legal officer
The Walt Disney Company announced Senior Executive Vice President, General Counsel and Chief Compliance Officer Horacio Gutierrez will be its senior executive vice president, chief legal and compliance officer.
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Bumble chief legal and compliance officer to resign
Online dating app Bumble announced its chief legal and compliance officer and secretary, Laura Franco, has decided to resign.
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Chime adds chief compliance officer
Financial technology company Chime welcomed Shara Chang as chief compliance officer.
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Blog
Wood Group names Nabors CCO as group general counsel
Scotland-based consulting and engineering company John Wood Group announced Michael Rasmuson will join as group general counsel.
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News BriefLPL Financial fined $5.5M by FINRA over transaction supervision lapses
Independent broker-dealer LPL Financial agreed to pay more than $6 million as part of a settlement with the Financial Industry Regulatory Authority addressing alleged supervision failures regarding direct business transactions and the suitability of switch transactions.
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News BriefInteractive Brokers fined $3.5M in FINRA action
Electronic trading platform Interactive Brokers received a $3.5 million penalty from the Financial Industry Regulatory Authority for multiple alleged violations of the self-regulatory organization’s rules regarding execution and supervision.
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News BriefOEP Capital Advisors fined $4M over policy failures
OEP Capital Advisors agreed to pay a $4 million penalty as part of a settlement with the Securities and Exchange Commission addressing alleged deficiencies regarding the prevention of misuse of material nonpublic information.
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News BriefEx-ChristianaCare CCO wins $12M in False Claims Act settlement
The former chief compliance officer of ChristianaCare Health System will receive more than $12 million as part of a settlement addressing his allegations of kickbacks and other False Claims Act violations at the Delaware-based hospital network.
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News BriefSEC fines UAE-based Brooge Energy $5M in fraud case
Brooge Energy agreed to pay $5 million in a settlement with the Securities and Exchange Commission resolving fraud charges related to a scheme to inflate revenues.
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News BriefPURE Insurance to pay $466K in OFAC sanctions case
Insurance organization Privilege Underwriters Reciprocal Exchange agreed to pay $466,200 as part of a settlement with the Office of Foreign Assets Control addressing alleged sanctioned transactions on behalf of designated Ukrainian-Russian oligarch Viktor Vekselberg.
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News BriefFinCEN sets access rules for beneficial ownership registry
The Financial Crimes Enforcement Network made several changes suggested by commenters to a new rule allowing limited access to its beneficial ownership information registry.