All United States articles – Page 72
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News BriefDOJ, FTC re-emphasize requirement to retain business communications
The Department of Justice and Federal Trade Commission updated language contained in standard preservation letters regarding the maintaining of business communications made via collaboration tools and ephemeral messaging apps.
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News BriefAon unit to pay $1.5M for misleading pension fund
Aon Investments USA and its former partner agreed to pay nearly $1.6 million in combined penalties to settle charges by the Securities and Exchange Commission that they misled a Pennsylvania school pension fund.
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News BriefSPAC to avoid $1.5M SEC fine for failing to disclose pre-IPO merger talks
Northern Star Investment Corp. II faced a penalty of $1.5 million to settle charges laid by the Securities and Exchange Commission that it made misleading statements in its January 2021 initial public offering.
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News BriefCFTC seeking comment on applications of AI in compliance
The Commodity Futures Trading Commission would like to learn more about how regulated entities might be using artificial intelligence in their compliance efforts, along with other applications.
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PremiumFCPA violations in China: Lessons learned from 2023 cases
Enforcement actions regarding alleged violations of the Foreign Corrupt Practices Act at 3M, Albemarle, Clear Channel Outdoor, and Royal Philips each had China touchpoints. Experts assess third-party risk management lessons learned from each case.
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News BriefEx-DOJ Criminal Division head Polite to lead Tavistock Group compliance review
Private equity company Tavistock Group announced the retention of law firm Sidley Austin to conduct a compliance review, the same week that its billionaire founder pleaded guilty to U.S. insider trading charges.
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Blog
Scripps names new legal chief
The E.W. Scripps Company, a diversified media company, announced the appointment of Dave Giles as chief legal officer.
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Eos Energy appoints chief compliance officer
Battery manufacturer Eos Energy Enterprises announced the appointment of Michael Willis Silberman to serve as the company’s general counsel, chief compliance officer, and corporate secretary.
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Zurich North America names finance head as risk chief
Insurance solutions and services provider Zurich North America appointed Ann Chai as chief risk officer.
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Kensington Asset Management appoints compliance chief
Kensington Asset Management welcomed Steven Chang as its new chief compliance officer.
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American Coastal Insurance announces compliance, risk chief
American Coastal Insurance Corp. promoted J. Andy Gray to the newly created position of chief compliance and risk officer.
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Ardent Mills adds general counsel, chief compliance officer
Flour supplier Ardent Mills announced Kate Kimball as general counsel, corporate secretary, and chief compliance officer.
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PremiumNew DOJ cyber section wants more private sector partnership
Cooperation between businesses and the new cybersecurity section at the Department of Justice has led to the successful defanging of numerous, major ransomware operations worldwide in just the few months since its creation, according to its chief.
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News BriefFINRA report highlights crypto communication violations
The Financial Industry Regulatory Authority announced it uncovered potential violations of its disclosure rules in 70 percent of crypto asset communications reviewed during a targeted exam.
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Grove Collaborative adds general counsel
Sustainable consumer products company Grove Collaborative Holdings announced the appointment of Scott Giesler as general counsel.
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Alta Equipment Group announces legal chief, general counsel
Construction equipment supplier Alta Equipment Group appointed Jeff Hoover as chief legal officer and general counsel.
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R&T Deposit Solutions names chief risk officer
R&T Deposit Solutions, a provider of services to financial institutions, announced it appointed Jason Mull as executive vice president, chief risk officer and chief information security officer.
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Leidos appoints general counsel
Science and technology company Leidos announced the appointment of Dan Antal as general counsel.
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PRA Group to add CCO from TransUnion
PRA Group, an acquirer and collector of nonperforming loans, announced the appointment of Keith Warren as chief risk and compliance officer.
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Tris Pharma appoints chief compliance officer
Tris Pharma announced the appointment of Franchesca Fowler as chief compliance officer and vice president, general counsel.