All United States articles – Page 18
-
News BriefBiden nominates CFTC’s Goldsmith Romero to head FDIC
President Joe Biden selected a commissioner at the Commodity Futures Trading Commission as his preferred choice to lead the Federal Deposit Insurance Corporation in the aftermath of its toxic workplace culture scandal.
-
News BriefAnson Funds, affiliate to pay $2.25M for fund disclosure violations
Registered investment adviser Anson Funds Management and exempt reporting adviser Anson Advisers will combine to pay more than $2 million for allegedly misleading investors about their short fund strategy and related recordkeeping violations.
-
Blog
STIIIZY appoints general counsel
Cannabis brand STIIIZY announced the appointment of Tony Shin as general counsel.
-
Blog
American Water names general counsel
American Water announced Stacy Mitchell was named executive vice president and general counsel.
-
Blog
Kimberly-Clark appoints chief sustainability officer
Consumer goods and personal care corporation Kimberly-Clark appointed Lisa Morden to the role of chief sustainability officer.
-
Blog
Seagate announces chief legal officer
Seagate Technology Holdings announced the appointment of Jim Lee as senior vice president, chief legal officer and corporate secretary.
-
Blog
GT Independence announces compliance chief
Financial management services company GT Independence announced Megan Owen has stepped into the role of chief compliance officer.
-
News BriefFormer CEO of AI recruiter Joonko charged with $27M fraud
The former chief executive officer of closed AI recruitment startup Joonko faces up to 40 years in prison and the potential of penalties levied by the Securities and Exchange Commission for allegedly defrauding investors of more than $27 million.
-
PremiumBIS’s Axelrod makes plea to financial services: ‘We want to work with you’
Matthew Axelrod, assistant secretary for export enforcement at the Bureau of Industry and Security, addressed efforts to reach financial services firms, working with the Financial Crimes Enforcement Network, and more during his fireside chat at CW’s Financial Crimes Summit.
-
PremiumCFTC’s Pham critical of agency stances on CCO liability, self-disclosure credit
Caroline Pham, a commissioner at the Commodity Futures Trading Commission, said compliance officers have a lot to worry about if they or their firms are subject to CFTC enforcement during her fireside chat at CW’s Financial Crimes Summit.
-
News BriefAdditions to UFLPA Entity List signal seafood supply chain risks
The U.S. Department of Homeland Security added three China-based entities across the seafood, aluminum, and footwear industries to the Uyghur Forced Labor Prevention Act Entity List.
-
PremiumPanelists break down robust sanctions landscape at TPRM Summit
Sanctions compliance officers face myriad challenges as complex geopolitical situations heighten risks worldwide, experts discussed during Compliance Week’s Third-Party Risk Management & Oversight Summit.
-
News BriefCerebral set to pay $7M over alleged patient data sharing
The Department of Justice and Federal Trade Commission proposed telehealth company Cerebral pay a total of $7 million for its alleged sharing of patient data and deceptive business practices in violation of the FTC Act.
-
News BriefPCAOB Chair Williams appointed to second term
Erica Williams was reappointed to a second term as chair of the Public Company Accounting Oversight Board after an ambitious first three years in the role that have seen the agency work to update many of its standards deemed outdated.
-
News BriefCityMD to pay $12M over Covid-19 false claims
CityMD, the largest provider of urgent care practices across New York and New Jersey, agreed to pay approximately $12 million as part of a settlement with the Department of Justice addressing the alleged submission of false claims for payment for Covid-19 testing.
-
Blog
Black & Veatch appoints general counsel, compliance chief
Global sustainability and critical infrastructure provider Black & Veatch has appointed Steve Meck as general counsel and chief compliance officer.
-
Blog
Paycom promotes GC to legal chief
Paycom announced that Matt Paque, who previously served as general counsel, has been promoted to chief legal officer.
-
Blog
Cover Whale names first general counsel
Cover Whale Insurance Solutions announced the appointment of Rachael Dugan as its first general counsel and corporate secretary.
-
Blog
Alkeus Pharmaceuticals appoints legal chief
Alkeus Pharmaceuticals announced that Eric Trachtenberg has joined the company as chief legal officer.
-
News BriefFinCEN BSA data: Fraud, money laundering top suspicious activities
The Financial Crimes Enforcement Network published its latest collection of Bank Secrecy Act data, including number and type of suspicious activity reports.