All United States articles – Page 47
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News Brief‘Why us?’ SEC lists reasons it conducts examinations of broker-dealers
A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.
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News BriefBluestone Physician Services to pay $14.9M in false claims case
Bluestone Physician Services agreed to pay approximately $14.9 million and abide by a corporate integrity agreement to settle allegations that it filed false claims to federal and state health programs for chronic pain care to people in assisted living facilities.
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Blog
Azira names general counsel, chief compliance officer
Consumer behavior insights firm Azira announced the appointment of James Kuan as general counsel and chief compliance officer.
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Blog
Kain Capital hires general counsel
Private equity firm Kain Capital announced Solomon Eskinazi joined as general counsel.
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Krispy Kreme announces chief legal officer
Doughnut chain Krispy Kreme announced Atiba Adams will join the company as chief legal officer.
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Skanska appoints general counsel for U.S. business unit
Global construction and development company Skanska appointed Brian Best as senior vice president, general counsel for Skanska USA Building.
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DOCOMO PACIFIC promotes compliance chief to CEO
Telecommunications and entertainment services provider DOCOMO PACIFIC announced the promotion of Christine Baleto, its chief financial officer and chief security and compliance officer, to president and chief executive officer.
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PremiumCourt overturns SEC private fund adviser rule, calls out agency overreach
A federal appeals court struck down the Securities and Exchange Commission’s private fund adviser rule, agreeing with industry advocates that the agency overstepped its authority.
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PremiumWhat to watch for as DOJ whistleblower program sprint ends
The Department of Justice’s 90-day sprint to developing and implementing a pilot whistleblower rewards program ended Wednesday, and many questions remain about what the program will entail.
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Blog
Banner Bank promotes risk chief as chief operating officer
Banner Bank announced Executive Vice President Jim Costa was promoted to chief operating officer in addition to his role as chief risk officer.
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Heron Finance hires compliance head
Registered investment adviser Heron Finance announced it hired Michael Jen as head of compliance.
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SoFi appoints general counsel
Digital financial services provider SoFi Technologies announced Stephen Simcock as general counsel.
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Freedom Holding adds first legal chief
Financial services company Freedom Holding Corp. announced the appointment of Jason Kerr as its first chief legal officer.
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News BriefEpoch Times CFO charged in $67M money laundering scheme
The chief financial officer of the Epoch Times was charged with laundering at least $67 million in illegally obtained funds to bolster the fortunes of the newspaper and himself.
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News BriefAirbus U.S. unit dinged by BIS for antiboycott violations
Satellite communications company Airbus DS Government Solutions received a reduced penalty from the Bureau of Industry and Security for admitting self-disclosed violations of antiboycott regulations.
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News BriefCFPB to require nonbanks to register outside enforcement orders
The Consumer Financial Protection Bureau passed a new rule requiring nonbank financial companies to register consumer protection orders filed against them by other federal agencies, courts, or states.
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News BriefEEOC latest regulator to name AI chief
The Equal Employment Opportunity Commission announced the appointment of an officer overseeing the use of artificial intelligence, becoming the latest agency to create the role called for in a President Joe Biden executive order.
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News BriefEricsson completes DOJ-imposed compliance monitorship
Swedish telecommunications giant Ericsson announced the conclusion of the independent compliance monitorship imposed on the company following its 2019 settlement for violations of the Foreign Corrupt Practices Act.
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News BriefAutodesk says no restatements following accounting probe
Software company Autodesk said it won’t restate several years of financial statements following an audit committee investigation into potential accounting misconduct.
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PodcastPodcast: SEC Commissioner Hester Peirce on regulatory demands, CCO input
Compliance Week’s Aaron Nicodemus sat down for an exclusive chat with SEC Commissioner Hester Peirce covering the flood of new regulation emanating from the agency, stresses on compliance at smaller firms, CCO liability, and more.