All United States articles – Page 81
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News Brief
DOJ to implement new clawback, compensation policies for corporate settlements
Corporate resolutions involving the Department of Justice’s Criminal Division will now include a requirement the resolving company develop compliance-promoting criteria within its compensation and bonus system, according to Deputy Attorney General Lisa Monaco.
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News Brief
FTC proposes BetterHelp pay $7.8M for sharing health data
The Federal Trade Commission proposed requiring online counseling service BetterHelp to pay $7.8 million as part of a settlement addressing charges it shared clients’ personal health data with Facebook, Snapchat, and other third parties for advertising purposes.
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News Brief
Godfrey Phillips India to pay $333K in North Korea sanctions case
Tobacco company Godfrey Phillips India agreed to pay $332,500 to the Office of Foreign Assets Control to settle charges it violated U.S. sanctions by involving U.S. banks and bank personnel in payments for shipments to North Korea.
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News Brief
Greenbrier Companies fined by SEC over CEO perk disclosures
Greenbrier Companies and its former chief executive officer will pay a total of $1.1 million to settle charges from the Securities and Exchange Commission the firm failed to disclose perks related to the use of a private jet owned by the CEO.
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Premium
Anti-ESG fervor catching fire with Republican lawmakers
The blowback against environmental, social, and governance initiatives in investments and corporate strategies is quickly building momentum in conservative politics, with nearly two dozen states proposing bills that limit ESG investments.
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Blog
Z Capital Group promotes CCO to general counsel
Z Capital Group announced the promotion of Chief Compliance Officer Erik Kreutzer to general counsel, chief compliance officer, and head of legal.
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Blog
ConvexityShares Trust appoints interim chief compliance officer
ConvexityShares Trust, an exchange-traded fund provider, announced the appointment of Joseph Ferraro as interim chief compliance officer, according to a public filing.
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Opinion
Legacy of CCPA: A blueprint for prioritizing compliance
Three years in, the promise of the California Consumer Privacy Act as a means of handing down eye-watering penalties against companies for data protection violations remains unfulfilled. And yet, the expanding U.S. data privacy legislation landscape is better for this.
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Ask a CCO: Most difficult element of data privacy compliance
Four senior compliance practitioners offer their take on the elements of data privacy compliance businesses can expect to be most difficult to confront.
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News Brief
Ex-CCO gets three years in prison for wire fraud
A former chief compliance officer of an unnamed New York-based investment adviser was sentenced to three years in prison for defrauding clients and her employer.
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News Brief
Marcum partner accused of PCAOB standard violations at FTE Networks
Marcum partner Alan Markowitz was accused of violating standards of the Public Company Accounting Oversight Board when he took a client’s false representations at face value during an audit without seeking more information.
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Blog
CFTC names new head of enforcement
The Commodity Futures Trading Commission announced the appointment of longtime federal prosecutor Ian McGinley as the agency’s new director of enforcement.
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Premium
California ‘setting the tone’ for privacy push with CPRA updates
Changes to the California Consumer Privacy Act set to come over the course of 2023 strengthen the nation’s first comprehensive state privacy law to a benchmark no other states have yet to equal.
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Ask a CCO: Company investment in data privacy efforts
Four senior compliance practitioners discuss how their respective companies invest in compliance with varying data privacy requirements.
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News Brief
FTC attorney warns of scrutiny toward AI claims in marketing
The Federal Trade Commission is keeping close watch on companies that use the term “artificial intelligence” when marketing their products.
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News Brief
HHS creates new enforcement office for health privacy
The Department of Health and Human Services and its office responsible for enforcing health privacy reorganized so it can sharpen enforcement of cybersecurity and data breaches.
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Blog
Loopio appoints first general counsel
Software company Loopio announced the appointment of Neetu Toor as its first general counsel.
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News Brief
SEC commissioners question best execution ruling in Huntleigh Advisors case
Huntleigh Advisors and affiliate Datatex Investment Services agreed to pay $893,502 to settle charges laid by the Securities and Exchange Commission regarding failure to disclose conflicts of interest to their advisory clients over eight years.
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News Brief
Stanley Black & Decker discloses potential FCPA violations
Stanley Black & Decker voluntarily disclosed to the Department of Justice and Securities and Exchange Commission its international division might have violated the Foreign Corrupt Practices Act.
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Premium
Ask a CCO: Roles in data privacy compliance efforts
Four senior compliance practitioners share their roles in ensuring data privacy compliance at their respective companies and the other departments that support their efforts.