All Compliance Week articles in Web Issue – Page 24
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Blog
STAAR Surgical announces general counsel
Medical equipment manufacturer STAAR Surgical Company announced Nathaniel Sisitsky was named general counsel.
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Blog
Elite appoints chief legal officer
Elite, which provides financial management and business operations solutions to law firms, announced it appointed Stephanie Milikh as chief legal officer and corporate secretary.
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News Brief
FINTRAC fines Binance $4.4M over AML/CFT violations
The Financial Transactions and Reports Analysis Centre of Canada imposed a penalty of approximately CAD$6 million (U.S. $4.4 million) against crypto platform Binance over alleged noncompliance with the country’s anti-money laundering/countering the financing of terrorism law.
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News Brief
DOJ launches task force on anticompetitive practices in healthcare
The Department of Justice’s Antitrust Division created a new task force to examine collusion and monopolies in the healthcare industry.
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News Brief
Fed-led climate scenario analysis highlights data gaps, insurance costs
The Federal Reserve Board and six large American banks released the results of a pilot climate scenario analysis that explored how resilient the banks’ business models were to climate-related financial risks.
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News Brief
FINRA fines Merrill Lynch $825K over order execution supervision lapses
Merrill Lynch was assessed an $825,000 penalty by the Financial Industry Regulatory Authority for alleged supervision failures regarding the execution of marketable equity orders entered into its electronic order systems.
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Blog
BHI appoints chief risk and compliance officer
BHI, the U.S. division of Israel-based Bank Hapoalim, appointed Nisan Blum as chief risk and compliance officer.
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Blog
TRAC Intermodal adds legal chief
TRAC Intermodal, a marine chassis provider and pool manager, announced Katherine Whalen is joining as executive vice president and chief legal officer.
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Blog
Protective Life names chief risk officer
Insurance company Protective Life Corp. announced Dom Lebel joined the company as senior vice president and chief risk officer.
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Blog
NCB Management Services appoints legal chief
Financial services company NCB Management Services announced the appointment of Jonathan Thompson as chief legal officer.
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Blog
Lumen Technologies appoints chief legal officer
Telecommunications company Lumen Technologies announced it appointed Chad Ho as executive vice president and chief legal officer.
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News Brief
Lululemon facing probe in Canada over greenwashing complaints
Athletic apparel company Lululemon is under investigation by the Canadian Competition Bureau regarding whether it made misleading claims about environmental aspects of its business.
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News Brief
FINRA enforcement roundup: Three firms fined for trade compliance lapses
The Financial Industry Regulatory Authority fined three firms—M1 Finance, Mizuho Securities, and Oppenheimer—between $250,000 and $500,000 across separate actions for failing to properly implement, monitor, and supervise internal systems that led to compliance failures.
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Blog
NextEra Energy announces chief risk officer
NextEra Energy announced Kirk Crews was appointed as executive vice president and chief risk officer.
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Blog
Optima Partners welcomes ex-RBC CCO as chief operating officer
Business management consultant Optima Partners announced the appointment of Michael Timotheou, former chief compliance officer at RBC Global Asset Management UK, as president and chief operating officer.
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Opinion
Five reasons I’m excited for CW’s Financial Crimes Summit
Compliance Week’s Financial Crimes and Regulatory Compliance Summit will feature more than 50 prominent speakers representing government agencies, regulators, banks, investment advisers, and more tackling the top-of-mind risk areas facing the financial services industry.
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Blog
Southwest Airlines announces regulatory chief, general counsel
Southwest Airlines announced the promotions of Jason Van Eaton to executive vice president, chief regulatory and corporate affairs officer and Jeff Novota to vice president, general counsel and corporate secretary.
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Blog
Plooto names chief compliance officer
Plooto, a payment automation solution for small-to-midsize businesses, welcomed Christopher Wassenaar as chief compliance officer.
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Blog
Higher Logic appoints general counsel
Online community software provider Higher Logic announced it appointed Cheryl Brogan as general counsel.
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Blog
AST SpaceMobile welcomes legal chief
Satellite designer and manufacturer AST SpaceMobile announced the appointment of Andrew Johnson as chief legal officer.