All United States articles – Page 138
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ArticleNew environmental, social issues made for ‘unprecedented’ 2022 proxy season
Companies across many industries were kept on their toes during the 2022 proxy season, with shareholders filing an extraordinary number of proposals pertaining to a broad array of environmental and social issues.
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Freddie Mac names chief compliance officer
Freddie Mac announced the appointment of Dennis Hermonstyne Jr. as senior vice president and chief compliance officer, effective Sept. 19.
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Mastercard appoints chief sustainability officer
Mastercard announced the appointment of Ellen Jackowski as chief sustainability officer.
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Truist Financial names head of DEI
Truist Financial announced the appointment of Dominica Groom Williams as head of diversity, equity, and inclusion.
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Nike promotes vice president of DEI to chief DEI officer
Jarvis Sam, Nike’s vice president of global diversity, equity, and inclusion, announced his promotion to chief diversity, equity, and inclusion officer.
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Validus Capital appoints chief compliance officer
Investment advisory firm Validus Capital announced the appointment of Sean Chen as chief operating officer, chief compliance officer, and managing partner.
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Shearman & Sterling names chief diversity and inclusion officer
Global law firm Shearman & Sterling announced the appointment of Loretta Lisa Dowdy Pearce as chief diversity and inclusion officer, based in New York.
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ArticleCourt: RBS whistleblower should not receive award
A federal appeals court has denied the whistleblower claims of a former Royal Bank of Scotland employee seeking compensation for a tip he said generated more than $10 billion worth of settlements.
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ArticleUber admits 2016 data breach cover-up in deal with DOJ
Ridesharing company Uber reached a nonprosecution agreement with the Department of Justice to resolve a criminal investigation into its 2016 data breach and subsequent cover-up.
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ArticleSEC touts data analytics in launching 3 insider trading cases
The Securities and Exchange Commission utilized data analytics to detect suspicious trading activity and form the basis of three separate insider trading cases.
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ArticleT-Mobile to create $350M fund to settle 2021 data breach claims
T-Mobile agreed to create a $350 million fund and spend an additional $150 million on improving its data security to settle a class-action lawsuit related to a 2021 hack that exposed the personal information of more than 76 million customers.
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ArticleFormer Coinbase manager charged in first crypto insider trading case
The Department of Justice and Securities and Exchange Commission charged a former product manager at Coinbase with insider trading for allegedly passing on tips to his brother and friend regarding when certain cryptocurrency assets would be made available on the platform.
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ArticleMidFirst Bank avoids penalty in OFAC resolution
MidFirst Bank will not pay a civil penalty after self-reporting to the Office of Foreign Assets Control apparent violations of weapons of mass destruction proliferator sanctions at the bank.
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ArticleDear SEC: The compliance community wants to be a partner, not a target
Communication between the Securities and Exchange Commission and the compliance community is not happening as robustly as compliance practitioners would like. The result is compliance officers are more concerned than ever the agency will target them in an enforcement action.
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ArticleBiogen discloses $900M agreement in whistleblower kickback suit
Massachusetts-based biotechnology firm Biogen reached a $900 million agreement in principle to resolve a False Claims Act lawsuit brought by a whistleblower alleging the payment of unlawful kickbacks to physicians.
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ArticleAssessing results of FASB’s 2021 agenda consultation report
The Financial Accounting Standards Board’s 2021 agenda consultation report summarizes the extensive feedback FASB received when it asked stakeholders where it should focus its time and resources.
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ArticleHealth Insurance Innovations, ex-CEO to pay $12M to settle fraud charges
Health Insurance Innovations and its former CEO Gavin Stockwell will pay a total of more than $12 million to settle SEC charges of misrepresenting the robustness of the company’s compliance program and misleading investors about customer complaints.
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ArticleBank of America reserves $200M for enforcement over banker personal device use
Bank of America has set aside $200 million in anticipation of an enforcement action related to unauthorized use of personal devices—an area in which U.S. regulators are cracking down.
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ArticleOneTrust CECO Asha Palmer to depart
Ethics and compliance veteran Asha Palmer announced her departure from software company OneTrust in a LinkedIn post.
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ArticleAmerican Express to pay $430K for violations of sanctions against drug kingpin
A subsidiary of American Express agreed to pay $430,500 to settle charges its network processed 214 transactions on behalf of a Venezuelan drug kingpin who was designated on the U.S. sanctions list, according to the Office of Foreign Assets Control.