All United States articles – Page 17
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News Brief
Barr speech signals Fed to rework capital rules after pressure from industry
Facing intense pressure from the banking industry, the Federal Reserve Board may scale back two controversial rule proposals aimed at reducing risks of bank failures in the event of a market downturn.
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Blog
Ally adds legal chief
Ally Financial announced Hope Mehlman will join the company as chief legal and corporate affairs officer, effective Dec. 2.
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Blog
PNC names new general counsel
The PNC Financial Services Group announced that Laura Long will be its new general counsel.
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Blog
The Royalty Network appoints general counsel
Music publishing company The Royalty Network announced the appointment of Daniel Abowd as its new president & general counsel.
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Blog
Match Group names legal chief
Digital technologies’ provider Match Group announced the appointment of Sean Edgett as chief legal officer & secretary, effective Sep. 23.
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Blog
Nium names compliance chief
Cross-border payments’ firm Nium announced that Philip Doyle joined as chief compliance officer.
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Blog
Link Logistics announces GC
Link Logistics, operator of last-mile logistics real estate, announced the appointment of Shannon Jensen as executive vice president and general counsel.
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News Brief
Commerce Dept. unveils new supply chain risk assessment tool
The U.S. Department of Commerce unveiled a diagnostic supply chain risk assessment tool, which will “utilize a comprehensive set of indicators to assess structural supply chain risk across the U.S. economy,” the agency said.
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News Brief
John Deere to pay $10M to settle FCPA violations by subsidiary in Thailand
Illinois-based manufacturer John Deere will pay approximately $10 million in penalties and disgorgement to the Securities and Exchange Commission for violating the Foreign Corrupt Practices Act with bribes paid by a Thai subsidiary.
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News Brief
SEC fines nine investment advisers combined $1.2M in ‘ongoing’ marketing rule sweep
Nine investment advisers will pay a total of $1.24 million to settle allegations that they violated the Securities and Exchange Commission’s marketing rule by disseminating advertisements with untrue or misleading information.
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Blog
Compass Surgical Partners names CLO
Compass Surgical Partners announced that Sarah Jacobs has joined the executive leadership team as chief legal officer.
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Blog
Hancock Whitney Bank’s first legal chief to retire
Hancock Whitney Bank announced that Senior Executive Vice President and Chief Legal Officer Joy Lambert Phillips will retire from the company on Sep. 6.
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Blog
Cresset appoints compliance chief
Wealth management firm Cresset announced that it has hired Amy Hong as chief compliance officer and executive managing director.
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News Brief
DOJ orders Wynn Las Vegas to forfeit $130M over BSA/AML violations
Wynn Las Vegas agreed to forfeit $130 million to settle a range of criminal allegations, including allegedly helping foreign customers hide money transfers and shielding patrons from Bank Secrecy Act and anti-money laundering rules, the Department of Justice said.
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News Brief
SEC fines Esmark, CEO combined $600K over false offer to U.S. Steel Corp.
A privately held family company and its CEO, who announced a $10 billion bid to buy U.S. Steel without having the cash on hand, will pay $600,000 in penalties to the Securities and Exchange Commission for making materially false statements.
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News Brief
SEC penalizes seven firms $3M total for impeding whistleblower protections
Seven public companies will pay a total of $3 million in fines for requiring employees to sign agreements containing provisions that impeded their ability to report misconduct to the Securities and Exchange Commission.
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News Brief
Circor avoids fine after self-reporting accounting control violations to SEC
Massachusetts-based technology company Circor International settled charges with the Securities and Exchange Commission regarding deficient internal accounting controls without paying a fine.
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Blog
Two Sigma names former Lazard GC as co-CEO
Financial sciences company Two Sigma announced that Scott Hoffman, former chief administrative officer and general counsel of Lazard, will be a co-chief executive officer, effective Sep. 30.
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Blog
Altruist appoints general counsel
Altruist, which offers technology and tools designed to help financial advisors achieve better outcomes, announced the appointment of Piret Loone as its new general counsel.