All United States articles – Page 85
-
News Brief
SEC exam report highlights Marketing Rule, Reg BI, private fund advisers
The Securities and Exchange Commission’s 2023 examination priorities report laid out areas under the microscope this year, including compliance with the agency’s Marketing Rule and Regulation Best Interest.
-
News Brief
Treasury report flags benefits, drawbacks to use of cloud services
The Treasury Department issued a report regarding the benefits and challenges associated with the use of cloud service providers by financial sector firms, finding shortcomings related to transparency, staff support, and cybersecurity incident response.
-
News Brief
Banner Health to pay $1.25M over HIPAA Security Rule lapses
Banner Health agreed to pay $1.25 million as part of a settlement with the Department of Health and Human Services addressing violations of the Health Insurance Portability and Accountability Act Security Rule regarding a 2016 data breach.
-
News Brief
Ex-Coinbase manager pleads guilty in landmark crypto insider trading case
Ishan Wahi, a former Coinbase product manager, pleaded guilty to wire fraud conspiracy in the first cryptocurrency insider trading case.
-
News Brief
Lee Enterprises flags ICFR weaknesses following internal review
Lee Enterprises, the media company that owns the St. Louis Post-Dispatch and 76 other newspapers nationwide, concluded its internal controls over financial reporting were not effective for the fiscal year ended Sept. 25, 2022.
-
Premium
Cybersecurity challenges: Defense and disclosure
Experts share perspectives regarding the criticality of cybersecurity risks, what the response of management and boards should be, and how proposed disclosure requirements need to be incorporated into cyber-related responsibilities.
-
Blog
Etsy recruits general counsel from Meta
Online retailer Etsy announced the appointment of Colin Stretch as chief legal officer and corporate secretary.
-
Blog
Altus Power adds sustainability to chief legal officer’s role
Solar facilities developer Altus Power announced Chief Legal Officer Sophia Lee will be adding sustainability to her responsibilities.
-
News Brief
DOJ withdraws healthcare antitrust policies with safe harbors
The Department of Justice announced the withdrawal of three guidance documents related to mergers and antitrust in healthcare, after labeling the policy statements “outdated” and “overly permissive.”
-
News Brief
Acacia Research says probe confirmed ex-CEO’s misconduct
Acacia Research Corp. disclosed the completed findings of its internal investigation into former CEO Clifford Press and whether he misappropriated corporate funds and resources for personal use.
-
Blog
Bayer promotes head of litigation to general counsel
Life sciences company Bayer announced the promotion of Vice President and Global Head of Litigation William Dodero to senior vice president and general counsel.
-
Blog
Store Capital adds compliance to general counsel’s title upon merger
With real estate investment trust Store Capital being acquired by GIC and Oak Street, Store announced General Counsel Chad Freed will be adding chief compliance officer to his duties.
-
News Brief
Anchorage Digital revamps BSA/AML compliance post-OCC consent order
Anchorage Digital unveiled moves to bolster its Bank Secrecy Act/anti-money laundering compliance staff less than a year removed from being called out by the Office of the Comptroller of the Currency for deficiencies in the area.
-
News Brief
Activision Blizzard fined $35M by SEC over workplace harassment disclosures
Activision Blizzard will pay $35 million to resolve Securities and Exchange Commission charges it violated federal securities laws by failing to adequately disclose how its ineffective response to workplace complaints was harming its ability to hire and retain skilled employees.
-
Blog
Dartmouth College recruits first CCO from Temple University
Dartmouth College announced the appointment of Alejandro Diaz as its first chief compliance officer. Diaz previously served as the inaugural CCO at Temple University, which named his interim successor as Susan Smith.
-
Premium
TI 2022 Corruption Perceptions Index shows ‘scant progress’
Around the world, countries attempting to address their corruption issues are not making much progress, while countries failing to address corruption are worsening the problem, according to Transparency International’s latest Corruption Perceptions Index.
-
News Brief
Report: SEC mulls tweaks to ease climate-related disclosure rule obligations
The Securities and Exchange Commission is reportedly considering pulling back on key elements of its proposed climate-related disclosure rule following pushback from investors, companies, and the public.
-
Blog
8x8 promotes CCO to chief legal officer
8x8, an information technology and consulting company, disclosed the recent promotion of Chief Compliance Officer Laurence Denny to chief legal officer and corporate secretary.
-
Blog
OceanFirst Financial promotes principal accounting officer to CCO
OceanFirst Financial Corp. disclosed the appointment of Angela Ho as chief compliance officer for the company and OceanFirst Bank.
-
Opinion
Allianz case questions if DOJ encouraging scapegoating in individual liability push
Is the Department of Justice’s focus on individual accountability in white-collar crime cases encouraging companies to scapegoat their employees? A recent court filing in a $6 billion corporate fraud case could give company officers some sleepless nights.