All United States articles – Page 3
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News BriefMorgan Stanley settles with states for $6.5M over mishandled data
Morgan Stanley agreed to pay $6.5 million as part of a settlement with six states requiring the firm to strengthen its data security after actions it took compromised the personal data of millions of customers.
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News BriefLifecore Biomedical earns FCPA declination for voluntary self-disclosure
Pharmaceuticals company Lifecore Biomedical won’t face prosecution for apparent violations of the Foreign Corrupt Practices Act after satisfying multiple factors of the Department of Justice’s recently updated voluntary self-disclosure policy.
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News BriefCCO jailed 4 1/2 years for role in $50M Medicare fraud
The chief compliance officer of a defunct pharmacy holding company was sentenced to 4 1/2 years in prison after being found guilty of conspiracy to commit healthcare fraud and wire fraud earlier this year.
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Maryland tabs first chief sustainability officer
Maryland Gov. Wes Moore announced the appointment of Meghan Conklin as the state’s first chief sustainability officer.
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Divert announces general counsel
Impact technology company Divert announced the appointment of Kathleen Patton as general counsel.
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Campbell’s names new general counsel
Campbell Soup Company announced the appointment of Charles Brawley III as executive vice president, general counsel and corporate secretary.
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Prologis adds sustainability chief to executive committee
Logistics real estate firm Prologis announced the addition of its Chief Energy and Sustainability Officer Susan Uthayakumar to its executive committee.
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News BriefCFPB fines Enova $15M, orders exec compensation tied to compliance
The Consumer Financial Protection Bureau levied a $15 million fine against nonbank online lender Enova International for “widespread illegal conduct” that violated a previous agency order.
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News BriefSEC adopts Dodd-Frank rule on clearing agency conflicts of interest
The Securities and Exchange Commission continued its recent run of pushing through remaining regulations under the Dodd-Frank Act of 2010 by adopting new rules to mitigate conflicts of interest for security-based swap clearing agencies.
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News BriefNursing home chain, owner to pay $45.6M in kickbacks case
Prema Thekkek and the six skilled nursing homes she owned through her company, Paksn, agreed to pay $45.6 million in entering a consent judgment with the Department of Justice to resolve allegations employees paid kickbacks to doctors who brought patients to them.
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PremiumHow technology can help track off-channel communications use
Establishing a set of policies and procedures to prevent employee use of nonauthorized electronic communications to conduct business is relatively straightforward. The hard part is monitoring compliance.
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Performance Trust names general counsel, promotes CCO
Performance Trust Capital Partners announced the addition of Jenn Docherty as general counsel and promotion of Krissy Love to chief compliance officer.
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Cutera appoints chief legal officer
Aesthetic and dermatology solutions provider Cutera announced the appointment of Stephana Patton as chief legal officer.
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The Aspen Group announces chief legal and compliance officer
The Aspen Group, a healthcare provider, announced the appointment of Hyung Bak as chief legal and compliance officer.
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Fox names chief legal and policy officer
Media giant Fox Corp. appointed Adam Ciongoli as chief legal and policy officer.
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Comerica appoints chief risk officer
Comerica Bank announced Brian Goldman has been named senior executive vice president and chief risk officer.
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News BriefKPMG Japan fined $500K over journal entry quality controls
The Japanese affiliate of Big Four audit firm KPMG was assessed a $500,000 penalty by the Public Company Accounting Oversight Board for quality control deficiencies regarding journal entry testing.
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News BriefN.Y. hospitals face stiff cybersecurity requirements under proposed rules
New York hospitals would be required to have a cybersecurity program that includes regular cyber risk assessments under newly proposed regulations.
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PremiumA job never done: Tips for TPRM integration
Taking risk mitigation further and understanding your third parties and their risks can create value for your organization, practitioners discussed as part of a panel at CW’s virtual TPRM and Oversight Summit.
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News BriefCharter Communications fined $25M over stock buyback violations
The Securities and Exchange Commission fined Charter Communications $25 million for violating internal accounting control requirements related to stock buybacks.