All United States articles – Page 14
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News Brief
SEC, FinCEN propose customer ID program for investment advisers
The Securities and Exchange Commission and Financial Crimes Enforcement Network proposed a rule requiring registered investment advisers to implement customer identification programs, another facet of a coordinated attempt to close an apparent loophole in federal AML regulations.
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News Brief
FSOC warns on liquidity risk by nonbank mortgage servicers
A new report by the Financial Stability Oversight Council recommended state regulators and Congress take steps to minimize “significant liquidity risk” posed by the nonbank mortgage servicing industry.
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News Brief
Lawsuit: Ex-Panoramic Health assistant GC alleges retaliation linked to CCO supervisor
The former assistant general counsel at Panoramic Health is suing her former employer alleging wrongful termination after flagging safe harbor violations of the Anti-Kickback Statue.
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News Brief
FAT Brands on defense over DOJ, SEC accounting misconduct allegations
Restaurant operator FAT Brands said it would contest charges announced by the Department of Justice regarding violations of the Sarbanes-Oxley Act related to personal loans made to executive officers.
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Blog
Sculptor Capital names chief compliance officer
The board of directors of Sculptor Capital Management appointed Colleen Kilfoyle to serve as chief compliance officer.
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Blog
Rithm Capital recruits ex-Sculptor Capital CCO as legal chief
Investment management company Rithm Capital announced David Zeiden was appointed chief legal officer.
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Blog
Probo Medical hires general counsel
Global diagnostic imaging solutions provider Probo Medical announced the hiring of Ashlyn Jennings as chief administrative officer and general counsel.
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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
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
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.