All United States articles – Page 23
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News BriefCommerce 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 BriefJohn 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 BriefSEC 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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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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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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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 BriefDOJ 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 BriefSEC 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 BriefSEC 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 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.