All United States articles – Page 59
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News BriefCPPA warns of collecting too much data in first enforcement advisory
The California Privacy Protection Agency warned businesses to stop asking for excessive information from consumers who have requested to opt out of having their data collected or who are otherwise exercising their privacy rights under the California Consumer Privacy Act.
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News BriefLegal pushback prompts SEC to stay climate-related disclosure rule
The Securities and Exchange Commission delayed implementation of its climate-related disclosure rule until the courts can rule on appeals filed in response to the controversial policy.
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News BriefN.Y. compliance officer charged for embezzling $200K from employer
A New York-based chief counsel and compliance officer was charged for embezzling more than $200,000 from the consulting firm he worked for, the Manhattan District Attorney’s Office announced.
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News BriefEx-OneCoin compliance head jailed 4 years for fraud role
The former head of legal and compliance at OneCoin was sentenced to four years in prison after pleading guilty to fraud charges regarding her role in a cryptocurrency marketing scheme.
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Jackson Healthcare names chief risk officer
Jackson Healthcare announced the promotion of David Robertson to chief risk officer.
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Cleveland Clinic names chief legal officer
Medical center Cleveland Clinic announced Deborah Gordon will be appointed executive vice president and chief legal officer.
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German American names chief risk officer
German American Bancorp announced Mary Moorhouse was appointed senior vice president, chief risk officer.
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Rocket Pharmaceuticals appoints general counsel
Rocket Pharmaceuticals announced Martin Wilson was appointed general counsel and chief corporate officer.
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Gatewood Capital Partners names CCO to investment committee
Private equity firm Gatewood Capital Partners announced Andrew Coren, chief financial officer and chief compliance officer, was appointed to its investment committee.
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Zendesk announces chief legal officer
Software company Zendesk announced Shana Simmons joined as chief legal officer.
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News BriefSenvest latest rapped by SEC over off-channel comms
Registered investment adviser Senvest Management agreed to pay $6.5 million as part of a settlement with the Securities and Exchange Commission addressing admitted off-channel communications violations and separate code of ethics failures.
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News BriefCFTC lauds Australian swap dealer’s cooperation in $500K enforcement
The Commodity Futures Trading Commission ordered an Australian swap dealer to pay $500,000 over admitted supervision failures related to a deficient spoofing surveillance tool.
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PremiumEx-Albemarle CCO shares drivers behind data analytics success at CW2024
Former Albemarle CCO Andrew McBride explained at Compliance Week’s 2024 National Conference how he led the company’s compliance department to remediate the issues that led to apparent FCPA violations and how the team used data analytics to assess risks and implement compliance solutions.
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PremiumAI expert at CW2024: Why AI needs compliance
If there was one takeaway Diana Kelley offered during her keynote address at Compliance Week’s 2024 National Conference, it was that artificial intelligence tools—especially generative AI—need compliance.
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Gamida Cell chief compliance officer to depart
Cell therapy company Gamida Cell announced General Counsel and Chief Compliance Officer Josh Patterson will depart the company.
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Standard Insurance Company names chief risk officer
Standard Insurance Company announced Lauren Canfield, assistant vice president and actuary in actuarial transformation, will become vice president, corporate actuary and chief risk officer.
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Olympus Corporation of the Americas announces general counsel
Optical technology manufacturer Olympus Corporation of the Americas announced David Gomez was promoted to corporate general counsel.
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Mercy names new legal chief
Healthcare system Mercy named Jennifer Brown chief legal officer and senior vice president.
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NewtekOne hires chief risk officer
Financial holding company NewtekOne announced it hired Taylor Quinn as senior vice president, chief risk officer for NewtekOne and Newtek Bank, N.A.
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News BriefEbix: SEC probe into short seller claims closed
Ebix announced the Securities and Exchange Commission closed an investigation into allegations against the software company’s accounting practices raised in a short seller report.