All United States articles – Page 149
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ArticleBrinks fined $400K over restrictive whistleblower language in contracts
The Brink’s Company, a provider of security-related services, has agreed to pay $400,000 and add wording in U.S. confidentiality agreements to comply with an SEC rule regarding corporate whistleblowers.
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ArticleFormer Rite Aid compliance exec fined $305K over insider trading case
A former Rite Aid compliance executive agreed to pay a civil penalty of $305,129 to resolve SEC insider trading charges regarding sale of company stock.
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Accuray names chief accounting officer
Accuray, a healthcare company offering radiation therapy, announced the appointment of Franco Palomba as vice president, chief accounting officer and controller.
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Article‘Have contingency plans’: TPRM expert on confronting Russia risk exposure
Melanie Gallagher, head of third-party risk management at financial software company Intuit, offered best practices for navigating sanctions compliance risks at CW’s TPRM Summit in Chicago.
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ArticleDAG Monaco: Sanctions should be ‘at the forefront’ of compliance approach
Businesses with a multinational footprint or international suppliers should be prioritizing abiding by U.S. sanctions in their compliance efforts, Deputy Attorney General Lisa Monaco said at an industry event.
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Senate confirms Jaime Lizárraga, Mark Uyeda as SEC commissioners
Democrat Jaime Lizárraga and Republican Mark Uyeda have been confirmed by the Senate to serve as commissioners on the Securities and Exchange Commission.
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ArticleCompliance deficiencies faulted in Western International Securities Reg BI case
Western International Securities and five of its brokers have been charged by the Securities and Exchange Commission with violating Regulation Best Interest when they sold high-risk debt securities to investors who weren’t aware of the risks.
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ArticleUSAA whistleblowers want to be heard—and now
Jaclyn Jaeger reflects on feedback received from former and current USAA employees following her three-part series detailing alleged violations of law and mismanaged compliance culture at the financial services giant.
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ArticleFASB removes goodwill accounting project from agenda
The Financial Accounting Standards Board tentatively ruled to remove a project regarding identifiable intangible assets and subsequent accounting for goodwill from its technical agenda.
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ArticleAssessing the scope of FASB’s environmental credits project
The Financial Accounting Standards Board added a project to its technical agenda on environmental credits that will include recognition, measurement, accounting presentation, and disclosure.
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Volta adds chief accounting officer
Volta, an electric vehicle charging network, announced the appointment of Stephen Pilatzke as chief accounting officer.
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Cooper Standard appoints chief accounting officer
Cooper Standard, a global supplier of systems and components for the automotive industry, announced the appointment of Amy Kulikowski as vice president, chief accounting officer, effective July 11.
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ArticleWeiss Asset Management lauded for cooperation in $6.9M settlement
Weiss Asset Management reached a $6.9 million settlement with the Securities and Exchange Commission after it self-reported alleged short selling violations.
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Netflix names principal accounting officer
Streaming giant Netflix disclosed the appointment of Ken Barker as principal accounting officer, effective June 27.
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BitPay hires new chief compliance officer
Cryptocurrency platform BitPay has hired Allison Raley as chief compliance officer and general counsel.
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OneSpan adds chief compliance officer
Cybersecurity software provider OneSpan announced the addition of Lara Mataac as general counsel and chief compliance officer.
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ArticleSEC to Schwab: Return $187M for robo-adviser misstatements
Three Charles Schwab subsidiaries have agreed to pay $187 million to settle SEC charges the units were allocating investors’ cash holdings in a way that was less profitable under most market conditions and misled investors about the strategies involved.
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ArticleAddressing fraud via social media
Fraud and social media have a special relationship, with the two frequently combining to cause harm, distress, and loss to an enormous number of people.
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ArticleSEC charges investment adviser, CCO with selling fraudulent securities
A.G. Morgan Financial Advisors, its owner, and its former chief compliance officer were charged by the SEC with securities laws violations for unlawfully offering and selling more than $500,000 worth of unregistered, fraudulent securities.
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ArticleSEC probing Ericsson over Iraq corruption scandal
The Securities and Exchange Commission opened an investigation into Ericsson following the Swedish telecommunications company’s acknowledgement of evidence of “corruption-related misconduct” that occurred in its Iraq operations.