All United States articles – Page 5
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News Brief
FinCEN proposes additional risk assessments for AML/CFT programs
Financial institutions would be required to conduct more thorough risk assessments on their anti-money laundering/countering the financing of terrorism programs under a new rule proposed by the Treasury Department’s Financial Crimes Enforcement Network.
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SCOTUS decision upends in-house tribunals in SEC fraud cases
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
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Blog
OnKure appoints general counsel
Biopharmaceutical company OnKure announced the appointment of Rogan Nunn as general counsel and secretary.
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Blog
MAPFRE USA promotes GC to COO
Auto and home insurer MAPFRE USA announced that Daniel Olohan, who has served as general counsel and secretary of the company since 2008, has been appointed chief operating officer, effective Aug. 1.
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Blog
Cetera Investment Services gets compliance chief
Cetera Financial Group announced that Gwen Weithaus has been named chief compliance officer for Cetera Investment Services.
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Blog
Sigma names new general counsel
Sigma, analytics and business intelligence provider, announced the addition of Ali Harmer as general counsel.
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Blog
Cariloop adds general counsel
Cariloop, a comprehensive caregiver support platform, announced the addition of Carly Duvall Le Riche as the company’s first general counsel.
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Blog
Mativ names Roper Technologies GC to board
Specialty materials company Mativ Holdings announced it has appointed John Stipancich, currently serving as executive vice president, general counsel, and secretary of Roper Technologies, as an independent member of its board of directors.
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Blog
FedEx announces new chief sustainability officer
FedEx announced that Karen Blanks Ellis will become the company’s next chief sustainability officer, effective July 1.
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Blog
Kriya appoints chief legal officer
Biopharmaceutical company Kriya Therapeutics announced the appointment of Katherine Eade to the position of chief legal officer.
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News Brief
Mondo TV reaches $538K settlement with OFAC over N. Korea sanctions violations
Italy-based Mondo TV agreed to pay $538,000 to settle charges with the Treasury Department’s Office of Foreign Assets Control over 18 apparent violations of North Korea sanctions regulations.
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News Brief
DOE offers supply chain cybersecurity guidance for energy, oil, gas industries
The U.S. Department of Energy released supply chain cybersecurity principles meant to help strengthen key technologies used to manage and operate electricity, oil, and natural gas systems.
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Women in Compliance highlights: Mentorship driving DEI; fostering board buy-in
Keeping track of regulations and understanding how they affect your business can be a hot mess without proper organization and collaboration, experts said at Compliance Week’s Women in Compliance Summit, held June 3-4, in Atlanta.
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News Brief
DOJ orders PetroChina unit to pay $14.5M over export control violations
PetroChina International America agreed to pay a fine and forfeiture of $14.5 million to settle charges with the Department of Justice that it violated U.S. export control laws.
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News Brief
OFAC sanctions nearly 50 entities for ‘shadow banking’ benefiting Iranian military
The Treasury Department’s Office of Foreign Assets Control sanctioned nearly 50 entities connected with so-called “shadow banking” networks that help Iran’s military evade U.S. sanctions and to sell the country’s oil and petrochemical products.
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News Brief
SEC orders Meta Materials to pay $1M over market manipulation, fraud
A Nevada energy and manufacturing company headquartered in Nova Scotia agreed to pay $1 million to settle charges levied by the Securities and Exchange Commission for alleged market manipulation and fraud, while the agency further investigates its former chief executives.
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News Brief
SpongeBob game developer ordered to pay $500K over CCPA, COPPA violations
Popular children’s mobile game developer Tilting Point Media agreed to pay $500,000 to settle allegations the company illegally collected children’s personal data, a violation under the California Consumer Privacy Act and a federal children’s privacy law.
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News Brief
DOJ orders Houston medical centers to pay $15M over concurrent billing false claims
Houston-based medical center institutions agreed to jointly pay $15 million to settle allegations for improperly billing Medicare for concurrent surgeries in violation of teaching physician and informed consent regulations.
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News Brief
Banking regs find flaws in resolution plans for BoA, JPM, Goldman Sachs, Citi
Two federal banking regulators found deficiencies with the sale of derivatives in the resolution plans of Bank of America, Goldman Sachs, and JPMorgan Chase, while the regulators disagreed on the severity of an issue with Citigroup’s plan.
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News Brief
Clearview AI agrees to pay stake in company to settle Illinois privacy lawsuit
Facial recognition company Clearview AI reached a preliminary settlement in a class action lawsuit alleging it violated the Illinois Biometric Privacy Act, with the company agreeing to compensate victims with stake in the company.