All United States articles – Page 29
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News Brief
DOJ announces international anti-bribery initiative
The Department of Justice will increase its efforts to build relationships and foster collaboration with its global counterparts to thwart bribery and corruption under a new strategy.
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Blog
LPL Financial names chief compliance officer
LPL Financial announced the appointment of Jim McHale as executive vice president and chief compliance officer.
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Blog
Autodesk announces first chief sustainability officer
Autodesk, a provider of 3D design, engineering, and construction software, announced the appointment of Joe Speicher as the company’s first chief sustainability officer.
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Blog
The Hartford names new general counsel
Insurance giant The Hartford promoted its Deputy General Counsel and Corporate Secretary Don Hunt to general counsel and head of law, compliance, and government affairs.
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Blog
Modern Wealth Management appoints chief compliance and legal officer
Modern Wealth Management announced the hiring of J.P. Rankin as chief compliance and legal officer.
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News Brief
Bank of America unit fined $24M in FINRA spoofing case
Bank of America Securities agreed to pay $24 million in settling with the Financial Industry Regulatory Authority for allegedly failing to supervise the “spoofing” activities of two former traders in U.S. Treasury markets.
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Premium
One company’s voluntary self-disclosure, two companies’ FCPA settlements
Nicole Argentieri, acting head of the Department of Justice’s Criminal Division, explained how the actions of Jardine Lloyd Thompson Group Holdings coming forward helped bring about the agency’s recent FCPA enforcements against Tysers Insurance Brokers and H.W. Wood.
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News Brief
China-based PwC affiliates fined $7M in historic PCAOB actions
The Public Company Accounting Oversight Board imposed $7 million in total penalties against two PwC affiliates under its first settlements with mainland Chinese and Hong Kong firms since the passage of the Holding Foreign Companies Accountable Act.
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News Brief
FinCEN adopts beneficial ownership reporting extension for 2024 companies
The Financial Crimes Enforcement Network finalized a rule to extend the deadline for companies created or registered in 2024 to file their initial beneficial ownership information reports.
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Blog
Pipedrive welcomes general counsel
Pipedrive, a customer relationship management software tool, announced the appointment of Phillip Mellet as its new general counsel.
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Premium
Binance’s compliance past, future detailed
There are a slew of compliance lessons to be learned from the $4.3 billion settlement that Binance, the world’s largest cryptocurrency exchange, reached with the U.S. government.
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News Brief
Bank of America fined $12M over demographic data reporting lapses
Bank of America will pay a $12 million penalty for allegedly reporting false mortgage lending data to the federal government, under a settlement reached with the Consumer Financial Protection Bureau.
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News Brief
First American fined $1M by NYDFS over 2019 cybersecurity breach
First American Title Insurance Company agreed to pay a $1 million fine and implement stronger compliance measures for not securing customers’ personal data, the New York State Department of Financial Services announced.
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Blog
NNN REIT names new general counsel
Real estate investment trust NNN REIT announced the appointment of Gina Steffans as executive vice president and general counsel.
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Blog
Solar Integrated Roofing hires general counsel
Solar Integrated Roofing Corp. announced the hiring of Jason Ostendorf as its new general counsel.
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Blog
GTT announces general counsel
GTT Communications, a provider of managed network and security services, announced Valerie Green as its general counsel.
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Blog
Modine appoints general counsel
Thermal management technology and solutions provider Modine appointed Erin Roth to the role of vice president, general counsel and corporate secretary.
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Blog
VUMC names chief privacy officer
Vanderbilt University Medical Center appointed Sondra Hornsey as its new chief privacy officer.
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News Brief
TD Bank unit fined $600K by FINRA over email review lapses
TD Private Client Wealth agreed to pay a $600,000 penalty levied by the Financial Industry Regulatory Authority for allegedly failing to review millions of employee emails as required by the self-regulatory organization’s rules.
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Podcast
Digital Transformation of Compliance podcast: GWU Professor Kyle Welch
In this episode of the Digital Transformation of Compliance podcast series, Kyle Welch, a George Washington University associate professor of accountancy, discusses findings from his research on internal whistleblowing and compliance dashboards built by publicly traded U.S. companies to leverage hotline data.