All United States articles – Page 90
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Blog
Bentley Systems names sustainability chief
Infrastructure engineering software company Bentley Systems announced the appointment of Chris Bradshaw as its first chief sustainability officer.
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News BriefTransUnion settles with CFPB, FTC over tenant screening accuracy
Credit reporting agency TransUnion agreed to pay $23 million total across settlements with the Consumer Financial Protection Bureau and Federal Trade Commission for alleged tenant screening and security freeze deficiencies.
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OpinionIncentive policies suggest calm before storm at DOJ
All the carrots being offered by the Department of Justice in the past year—greater penalty reduction thresholds, relief related to compensation clawbacks, voluntary self-disclosure incentives—are part of a strategy to strengthen the enforcement stick when companies don’t cooperate.
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PremiumCFTC commissioner blasts Goldman’s ‘culture of noncompliance’
After four enforcement cases against Goldman Sachs in 18 months, CFTC Commissioner Christy Goldsmith Romero accused the firm of perpetuating a corporate culture that tolerates repeated violations of the agency’s rules.
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Integral Ad Science names new chief legal officer
Integral Ad Science, a global media measurement and optimization platform, announced the appointment of Yossi Almani as chief legal officer.
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Charter Communications announces general counsel
Charter Communications announced the appointment of Jamal Haughton as executive vice president, general counsel and corporate secretary.
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AG Twin Brook Capital Income Fund names interim CCO
The board of AG Twin Brook Capital Income Fund, a Delaware-based statutory trust, appointed Jenny Neslin as interim chief compliance officer.
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PremiumExpert: How data hoarding increases businesses’ cyber risks
Holding on to data for longer than necessary creates vulnerabilities for businesses by giving cyberattackers more avenues to access an organization’s computer systems.
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News BriefCardiac Imaging, CEO to pay $85M in DOJ false claims case
Cardiac Imaging and its chief executive agreed to pay a total of more than $85 million to settle charges levied by the Department of Justice addressing alleged violations of the False Claims Act regarding unlawful kickbacks.
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News BriefWilmington Trust to pay $1.3M over fiduciary duty lapses
Wilmington Trust Investment Management agreed to pay more than $1.3 million to settle charges by the Securities and Exchange Commission it failed to disclose conflicts of interest and breached its fiduciary duty to clients.
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News BriefCompliance cost concerns raised as California enacts climate disclosure laws
The governor of California signed off on a pair of bills containing requirements for large businesses operating in the state to make disclosures regarding their climate-related risks and impacts, though not without mentioning work to be done on the compliance ramifications associated with each law.
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News BriefSEC adopts shorter reporting deadlines for beneficial ownership
The Securities and Exchange Commission finalized its rule proposal to cut in half the timeline allowed for market participants to file initial beneficial ownership information with the agency.
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News BriefHSBC unit fined $2M by FINRA over long-running disclosure lapses
HSBC Securities (USA) agreed to pay $2 million as part of a settlement with the Financial Industry Regulatory Authority addressing alleged inaccurate disclosures related to conflicts of interest.
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PodcastDigital Transformation of Compliance podcast: FedEx CCO Justin Ross
In the debut episode of the Digital Transformation of Compliance podcast series, Justin Ross, chief compliance officer at FedEx, speaks to specific areas in which the shipping giant has digitized and automated parts of its compliance function.
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PremiumOCC examiners to focus 2024 attention on risks that led to bank failures
Bank examiners from the Office of the Comptroller of the Currency are focusing their supervision attention on how banks manage risks that brought down three mid-sized financial institutions earlier this year.
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News BriefMGM discloses $100M hit from cyberattack
MGM Resorts International said it expects to take a $100 million hit as part of the fallout of a cyberattack that has most significantly impacted its Las Vegas operations.
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PremiumShinhan Bank enforcements a lesson in not prioritizing compliance
The recent $25 million in combined penalties levied against South Korean-based Shinhan Bank by three U.S. regulators was the culmination of the bank’s failure over an eight-year period to timely correct deficiencies with its anti-money laundering and Bank Secrecy Act processes.
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Two Ocean Trust appoints chief risk and compliance officer
Two Ocean Trust, a Wyoming-chartered trust company, announced the appointment of Albert Forkner as its new chief risk and compliance officer.
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Auctane names chief legal officer
Auctane, a global delivery experience company, announced the appointment of Kin Gill as its new chief legal officer.
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Carson Group gets chief legal officer
Financial services firm Carson Group hired Julie Pine as its chief legal officer.