All United States articles – Page 86
-
Blog
SIG Sauer names CCO, general counsel
Firearms manufacturer SIG Sauer announced the appointment of Laurence Grayer as executive vice president, general counsel and chief compliance officer.
-
Blog
Verisk recruits chief privacy officer from Dell
Data analytics and technology provider Verisk announced the appointment of Samantha Vaughan as chief privacy officer.
-
News BriefFTC questions OpenAI over ChatGPT data security practices
The Federal Trade Commission sent to ChatGPT developer OpenAI a list of questions seeking clarity on how the company monitors, collects, and retains user personal information and ensures control over its popular artificial intelligence chatbot.
-
PremiumSurvey: Investment adviser compliance ramps up testing on advertising, marketing
The most popular mock exams conducted by compliance professionals at investment adviser firms this year have been on the Securities and Exchange Commission’s advertising/marketing rule, according to a new poll.
-
PremiumCalifornia privacy reg delay offers little more than short reprieve
Many businesses are breathing a sigh of relief following a court ruling that delayed enforcement of certain provisions of the California Privacy Rights Act, but companies should not rest on their laurels, according to experts.
-
News BriefOFAC head Andrea Gacki shifted to lead FinCEN
Treasury Secretary Janet Yellen announced the appointment of Andrea Gacki as director of the Financial Crimes Enforcement Network.
-
News BriefSEC on guard in adopting money market fund reforms
The Securities and Exchange Commission voted to approve rule changes affecting money market funds that the agency hopes fare better than previous efforts in the space.
-
PremiumFed vice chair: Large banks should expect capital standards to increase
The Federal Reserve Board will propose increasing capital standards for large banks and holding companies to build up the banking system’s resiliency against unanticipated market shocks.
-
Blog
CF Industries promotes CCO to general counsel
CF Industries Holdings announced the promotion of Vice President, Chief Compliance Officer and Assistant Secretary Michael McGrane to vice president, general counsel and secretary.
-
News BriefPCAOB penalizes CohnReznick for late disclosure of SEC fine
Audit firm CohnReznick agreed to pay a $20,000 fine levied by the Public Company Accounting Oversight Board for allegedly disclosing late a penalty it received from the Securities and Exchange Commission.
-
PremiumTI director: U.S. must reckon with role as corruption facilitator
The United States is one of few leaders in the anti-corruption enforcement space but still must reckon with its role as a top facilitator of financial crime, according to the executive director at the U.S. office of Transparency International.
-
PremiumSupreme Court to consider case that could affect corporate whistleblowing
The Supreme Court agreed to hear arguments in a case, Murray v. UBS Securities, that has focused attention on the burden of proof whistleblowers reporting misconduct internally must meet to establish retaliation by their public company employer.
-
News BriefBank of America to pay $230M over junk fees, fake accounts
Bank of America agreed to pay approximately $230 million to settle charges levied by the Consumer Financial Protection Bureau and Office of the Comptroller of the Currency over alleged junk fees, withheld credit card rewards, and the opening of fake accounts.
-
News BriefMerrill Lynch fined $12M over SARs filing failures
Merrill Lynch was assessed penalties totaling $12 million by the Securities and Exchange Commission and Financial Industry Regulatory Authority for allegedly failing to file nearly 1,500 required suspicious activity reports over the course of a decade.
-
News BriefADT discloses ICFR weaknesses related to impairment calculations
Home security company ADT said it will restate several of its recent financial statements after discovering errors in its calculation of goodwill impairment losses at its solar reporting unit.
-
News BriefEU adopts Privacy Shield replacement for U.S. data transfers
The European Commission announced it adopted a new agreement with the United States to allow for transatlantic data flows without fear of violating the European Union’s General Data Protection Regulation.
-
News BriefG7 task force to aid crack down on corruption in Ukraine
The Group of Seven justice ministers announced a Japan-led joint task force to “help Ukraine strengthen the rule of law and fight corruption,” according to U.S. Deputy Attorney General Lisa Monaco.
-
PremiumSelf check-ins key to personal, professional growth
“Risk assess yourself constantly.” Expert speakers at Compliance Week’s Women in Compliance Summit dispensed this career advice in more ways than one.
-
OpinionWomen in Compliance Summit proves value of congregating, allyship
Compliance Week’s inaugural Women in Compliance Summit featured two days dedicated to elevating attendees and addressing some of the unique challenges women face in the profession.
-
Blog
Verily appoints general counsel
Healthcare technology company Verily announced the appointment of Laura O’Donnell as general counsel.