All United States articles – Page 83
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Blog
Mastercard promotes CCO to chief risk officer
Mastercard announced the promotion of Chief Compliance Officer Karen Griffin to chief risk officer.
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News Brief
Treasury No. 2 warns of increased Russian sanctions enforcement
Deputy Secretary of the Treasury Wally Adeyemo said the agency is primed to step up its enforcement efforts regarding sanctions and export controls announced against Russia in the year since the country invaded Ukraine.
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Blog
WeWork promotes legal head to chief compliance officer
Coworking space company WeWork announced the promotion of Pam Swidler to chief legal officer, chief compliance officer, and corporate secretary.
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News Brief
HHS reports: Compliance reviews, health data breaches up
The number of compliance reviews by the Department of Health and Human Services of health organizations increased between 2017 and 2021, according to the agency’s latest reports to Congress.
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News Brief
Mormon church, investment manager pay $5M for misstating asset ownership
The Church of Jesus Christ of Latter-day Saints and its investment advisory firm agreed to pay a total of $5 million to settle charges from the Securities and Exchange Commission that both entities conspired to obscure the value of the church’s investments.
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News Brief
Raiffeisen confirms OFAC probe into Russia, Ukraine business
Raiffeisen Bank International said it received a request for information from the Treasury Department’s Office of Foreign Assets Control regarding its business activities related to Russia and Ukraine.
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Premium
Cybersecurity pillars: Prevention, protection, mitigation, governance
The former superintendent of the New York State Department of Financial Services explained how the structure of a cybersecurity program is like a compliance program and can be divided into four buckets during a panel discussion at CW’s Cyber Risk & Data Privacy Summit.
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News Brief
SEC, CFTC order Options Clearing Corp. to pay $22M over internal rule failures
Options Clearing Corp. agreed to pay $22 million as part of settlements with the Securities and Exchange Commission and Commodity Futures Trading Commission addressing charges the company failed to comply with internal rules to manage risks.
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News Brief
DOJ official defends use of DPAs amid criticisms
Deputy Assistant Attorney General Lisa Miller spoke to the value of deferred prosecution agreements to resolve corporate misconduct amid renewed criticism directed toward the Department of Justice’s 2021 agreement with Boeing.
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Premium
GDPR push for privacy by design still ‘a long way off’
Italy’s data protection authority banned U.S.-based AI chatbot creator Replika from processing the personal data of Italian users because of risks the service posed to minors and vulnerable people—the latest example of a tech company’s product running afoul of the GDPR.
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Blog
Vytalize Health appoints chief compliance officer
Vytalize Health announced the appointment of Derek Kang as chief compliance officer.
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Blog
Coalesce Capital appoints chief compliance officer
Private equity firm Coalesce Capital announced the appointment of Bethany Foullois as chief compliance officer and chief operating officer.
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Blog
Tesla recruits general counsel from Dish Network
Electric vehicle maker Tesla announced the appointment of Brandon Ehrhart as general counsel and corporate secretary.
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Blog
Sprinklr promotes CCO to general counsel
Software-as-a-service company Sprinklr announced the promotion of Deputy General Counsel and Chief Compliance Officer Jacob Scott to general counsel and corporate secretary.
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News Brief
SEC proposes expansion of RIA custody rule
The Securities and Exchange Commission proposed registered investment advisers be required to place nearly any asset, not just cash and securities, with qualified custodians, thereby expanding the scope of client assets.
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Premium
CISA strategist: What is an SBOM and why it matters to compliance
Cyberattacks on software are increasing, and the best chance organizations have of protecting themselves is to know about potential vulnerabilities through a software bill of materials, CISA Strategist Allan Friedman shared at CW’s virtual Cyber Risk & Data Privacy Summit.
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Blog
Binance recruits chief compliance officer from Gemini
Cryptocurrency exchange Binance continued its streak of recruiting compliance professionals from rival companies by appointing former Gemini Chief Operating Officer Noah Perlman as global chief compliance officer.
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Blog
Quantum Energy Partners names chief compliance officer
Quantum Energy Partners, a financial services firm serving the energy industry, announced the appointment of Sharmin Beacco as chief compliance officer.
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Blog
Mars names DEI director for North America
Candy and snacks manufacturer Mars announced the appointment of Flavia Moreira as diversity, equity, and inclusion director for North America.
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News Brief
Roadrunner avoids $9.6M in penalties in SEC accounting fraud case
Roadrunner Transportation Systems avoided further penalties regarding allegations of accounting fraud after the Securities and Exchange Commission deemed a $20 million class-action settlement agreed to in 2019 returned any ill-gotten gains.