All United States articles – Page 122
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News Brief
SEC commissioner advocates blanket compliance delays for small companies
Smaller reporting companies should, by default, have delayed compliance dates of at least one year on any new disclosure rule, SEC Commissioner Mark Uyeda said in a recent speech.
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Blog
Axogen names general counsel in charge of compliance
Axogen, a surgical solutions company specializing in peripheral nerve injuries, announced the appointment of Marc Began as executive vice president and general counsel.
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Blog
Mr. Cooper Group appoints chief risk and compliance officer
Home loan servicer Mr. Cooper Group announced the appointment of Christine Paxton as executive vice president and chief risk and compliance officer.
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PremiumGoogle, Uber CCOs share approaches to data analytics
The chief compliance officers of Google and Uber offer insight into how their data analytics compliance programs have evolved amid enhanced scrutiny on use of technology from the Department of Justice.
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News BriefSEC fines broker-dealer $100K over SARs reporting failures
Cambria Capital agreed to pay $100,000, hire an independent anti-money laundering consultant, and be censured for failing to file suspicious activity reports on certain transactions over a two-year period, according to the Securities and Exchange Commission.
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News BriefU.S. authorities list red flags for sanction evasion by third parties
The Bureau of Industry and Security, Office of Foreign Assets Control, and Department of Justice issued guidance to highlight common methods bad actors use to evade sanctions and export controls on Russia and how to spot their use.
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Blog
Orange County Bancorp promotes chief credit officer to chief risk officer
Orange County Bancorp, the parent company of Orange Bank & Trust Co., announced the promotion of Michael Listner to chief risk officer.
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News BriefEricsson to pay $207M for breaches of 2019 DPA over FCPA violations
Swedish telecommunications company Ericsson agreed to pay nearly $207 million following two breaches of its 2019 deferred prosecution agreement with U.S. authorities.
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News BriefDOJ sets new compliance criteria for criminal investigations
The Department of Justice announced changes to its evaluation procedures for corporate compliance programs in criminal investigations, including monitoring off-channel messaging by employees, executive compensation programs, and how the agency selects compliance monitors.
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Blog
USDA names first permanent chief diversity and inclusion officer
The U.S. Department of Agriculture announced the appointment of L’Tonya Davis as its first permanent chief diversity and inclusion officer.
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Blog
Kinetic Investment Management appoints chief compliance officer
Kinetic Investment Management announced the appointment of Dawn Rybak as chief compliance officer.
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PremiumAsk a CCO: What matters most in federal privacy law?
Four senior compliance practitioners provide their opinions on what a federal privacy law in the United States should strive to accomplish.
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PremiumPrivacy Shield replacement on track, though hurdles remain
The agreement on a new framework for transatlantic data flows between the United States and European Union could be finalized this year. Whether it can stand legal scrutiny is the real question.
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News Brief
DOJ to implement new clawback, compensation policies for corporate settlements
Corporate resolutions involving the Department of Justice’s Criminal Division will now include a requirement the resolving company develop compliance-promoting criteria within its compensation and bonus system, according to Deputy Attorney General Lisa Monaco.
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News BriefFTC proposes BetterHelp pay $7.8M for sharing health data
The Federal Trade Commission proposed requiring online counseling service BetterHelp to pay $7.8 million as part of a settlement addressing charges it shared clients’ personal health data with Facebook, Snapchat, and other third parties for advertising purposes.
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News BriefGodfrey Phillips India to pay $333K in North Korea sanctions case
Tobacco company Godfrey Phillips India agreed to pay $332,500 to the Office of Foreign Assets Control to settle charges it violated U.S. sanctions by involving U.S. banks and bank personnel in payments for shipments to North Korea.
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News BriefGreenbrier Companies fined by SEC over CEO perk disclosures
Greenbrier Companies and its former chief executive officer will pay a total of $1.1 million to settle charges from the Securities and Exchange Commission the firm failed to disclose perks related to the use of a private jet owned by the CEO.
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PremiumAnti-ESG fervor catching fire with Republican lawmakers
The blowback against environmental, social, and governance initiatives in investments and corporate strategies is quickly building momentum in conservative politics, with nearly two dozen states proposing bills that limit ESG investments.
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Blog
Z Capital Group promotes CCO to general counsel
Z Capital Group announced the promotion of Chief Compliance Officer Erik Kreutzer to general counsel, chief compliance officer, and head of legal.
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Blog
ConvexityShares Trust appoints interim chief compliance officer
ConvexityShares Trust, an exchange-traded fund provider, announced the appointment of Joseph Ferraro as interim chief compliance officer, according to a public filing.