All United States articles – Page 7
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News Brief
DOJ orders consultants to pay $11.3M total for cyber rule violations
Guidehouse and Nan McKay and Associates will pay a total of $11.3 million to the Department of Justice (DOJ) to settle allegations that cybersecurity failures led to the theft of client personal information during the height of the COVID-19 pandemic.
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News Brief
Credit Suisse unit inks deal with OCC over BSA/AML obligations
The New York branch of Swiss bank Credit Suisse reached a deal with the Treasury Department’s Office of the Comptroller of the Currency (OCC) over compliance with its Bank Secrecy Act and anti-money laundering obligations.
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Blog
Meridian Capital Group names first risk chief
Meridian Capital Group announced that it has named Melissa Martinez as the firm’s first chief risk officer.
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Blog
Commonwealth Asset Management GC, CCO joins Crowell & Moring
Crowell & Moring announced that Christopher Mendez, former general counsel and chief compliance officer at Commonwealth Asset Management, has joined its financial services group as senior counsel.
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Blog
WEX names chief legal officer
Global commerce platform WEX announced that Sara Trickett has been appointed chief legal officer and corporate secretary.
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Blog
Contineum Therapeutics announces general counsel
Contineum Therapeutics announced the appointment of John Healy as general counsel and corporate secretary.
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Premium
SEC, CFTC actively probe off-channel comms violations, top officials say
Two senior officials from the Securities and Exchange Commission and Commodity Futures Trading Commission described how both agencies are committed to rooting out off-channel communications among registered entities for the long term.
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News Brief
FTC sues Adobe alleging hidden subscription cancellation fees
The Federal Trade Commission took aim at Adobe and two executives Monday for making it too difficult for consumers to cancel their subscriptions and often charging a fee to do so.
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News Brief
CFTC orders Trafigura to pay $55M over fraud, impeding whistleblowers
Singapore-based commodity trading company Trafigura will pay $55 million to the Commodity Futures Trading Commission to settle charges related to fraud, manipulation, and impeding whistleblower communications with the agency.
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News Brief
Vermont governor vetoes privacy bill, legislature plans override vote
Vermont Republican Gov. Phil Scott vetoed a data privacy bill approved by the state’s Democrat-led legislature, which plans an override vote this week.
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News Brief
Washington state importer ordered to hire CCO in response to Lacey Act violations
A Washington state importer has been ordered by the Department of Justice to pay a $360,000 fine and hire a chief compliance officer after imported wood items the company claimed to be from Malaysia were found to be from China.
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News Brief
Ex-Synchronoss CFO fined, banned over SOX violations
The former chief financial officer at Synchronoss Technologies was fined a ban from the industry for widespread Sarbanes-Oxley Act violations.
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News Brief
Former SEC Chair William Donaldson dead at 93
William Donaldson, a former chairman of the Securities and Exchange Commission, died Tuesday. He was 93.
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Blog
Karma Wallet names ex-Visa sustainability chief as strategic adviser
Fintech company Karma Wallet announced the appointment of Douglas Sabo, former Visa chief sustainability officer, as a strategic adviser.
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Blog
BBB National Programs adds general counsel
BBB National Programs, the nonprofit home of independent industry self-regulation in the United States, announced the appointment of Amy Steacy to the newly created role of general counsel.
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Blog
SPX Technologies announce legal chief
SPX Technologies announced the appointment of Cherée Johnson as its new chief legal officer and secretary.
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News Brief
Evolve Bank ordered by Fed to address AML, sanctions lapses
The Federal Reserve Board ordered an Arkansas bank that partnered with numerous financial technology companies to correct deficiencies in its anti-money laundering, sanctions, risk management, and consumer compliance programs.
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Premium
‘We have to stop shrinking ourselves’: Strategies for confronting BIPOC bias
Attendees at Compliance Week’s Women in Compliance Summit discussed strategies for confronting bias against Black, indigenous, and people of color professional women working in compliance and risk.
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News Brief
Biden nominates CFTC’s Goldsmith Romero to head FDIC
President Joe Biden selected a commissioner at the Commodity Futures Trading Commission as his preferred choice to lead the Federal Deposit Insurance Corporation in the aftermath of its toxic workplace culture scandal.
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News Brief
Anson Funds, affiliate to pay $2.25M for fund disclosure violations
Registered investment adviser Anson Funds Management and exempt reporting adviser Anson Advisers will combine to pay more than $2 million for allegedly misleading investors about their short fund strategy and related recordkeeping violations.