All United States articles – Page 21
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News BriefCircor 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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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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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.
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CPB adds chief risk officer
Central Pacific Bank appointed Ralph Mesick as its senior executive vice president and chief risk officer.
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Variant Investments hires general counsel
Variant Investments announced that Brian Park has joined the firm as general counsel.
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Hertz names Polaris’ GC to board
Hertz Global Holdings announced that Lucy Clark Dougherty, senior vice president, general counsel and board secretary of Polaris, will serve as a board of director.
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News BriefCISA creates new portal for businesses to file cyber incident reports
The U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency has created a new online portal for organizations to voluntarily report cybersecurity incidents, including ransomware attacks.
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News BriefSEC fines Nationwide Planning, affiliates combined $240K over impeding whistleblowers
Broker-dealer Nationwide Planning Associates and two affiliated investment advisers impeded potential whistleblowers from reporting misconduct to the Securities and Exchange Commission and have agreed to settle the charges for a combined $240,000.
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News BriefSix credit rating firms to pay $49M for off-channel comms violations
Six credit rating agencies will pay $49 million in fines to the Securities and Exchange Commission for allowing their employees to communicate on company business using nonapproved communication channels like Whats App and WeChat.
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V2X promotes CCO to general counsel
Innovative solutions provider V2X promoted Chief Compliance Officer Jeremy Nance to general counsel.
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Clearlake Capital announces CCO
Clearlake Capital Group announced that John Cannon has been appointed managing director, portfolio general counsel & O.P.S. and chief compliance officer.
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Credo Technology Group names CLO
Credo Technology Group Holding announced that Jim Laufman has been appointed chief legal officer and corporate secretary.
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PremiumRaytheon parent to pay $200M in fines, remediation over export control violations
RTX Corp., the parent company of Raytheon, agreed to pay $200 million in fines and remediation to address hundreds of export control violations that led to the disclosure of sensitive military secrets.
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Eastman names chief legal officer
Eastman Chemical Company announced that Iké Adeyemi will serve as senior vice president, chief legal officer, and corporate secretary, effective Sep. 9.
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Crash Champions appoints CLO
Crash Champions, provider of high-quality collision repair services, announced the appointment of Seth Ingall as its chief legal officer.
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MDU Resources appoints Avista GC to board
MDU Resources Group announced that Marian Durkin, who was previously senior vice president, general counsel, secretary and chief compliance officer for Avista Corporation, has been appointed to the company’s board of directors.
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BRG Financial Institution Advisory practice names a former CCO as MD
Global expert services and consulting firm Berkeley Research Group announced that Michael Hollerich, who earlier served as chief compliance officer for two publicly traded financial services firms, has joined its financial institution advisory practice as a managing director.
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Columbia Climate School names first sustainability chief
Columbia Climate School has named Daniel Zarrilli as the university’s first chief climate & sustainability officer.
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Woodward appoints GC, compliance chief
Aerospace and industrial energy control solutions provider Woodward announced the appointment of Karrie Bem as executive vice president, general counsel, corporate secretary, and chief compliance officer, effective Sep 16.
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PremiumStrengthening BSA/AML defenses: Critical role of ERTs in modern day compliance
Enforcement actions in the first half of of 2024 by the Treasury Department’s Financial Crimes Enforcement Network highlight the importance of proactive measures in Bank Secrecy Act compliance rather than just being compliant.