All United States articles – Page 77
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Blog
Olympus names global general counsel
Medical technology company Olympus announced the appointment of Neil Boyden Tanner as global general counsel.
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Blog
Vista Equity Partners promotes legal, compliance chiefs to senior managing director
Investment firm Vista Equity Partners announced the promotions of Chief Compliance Officer Gwen Reinke and Chief Legal Officer Alan Schwartz to senior managing director.
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News BriefNYDFS issues guidance for responding to climate-related risks
The New York State Department of Financial Services issued guidance to regulated banking and lending institutions on managing material financial and operational risks related to climate change.
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News BriefCMMC implementation plan takes shape in proposed rule
The Department of Defense released for comment a proposed rule setting guidelines for implementation of the Cybersecurity Maturity Model Certification program.
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Blog
Disney general counsel named chief legal officer
The Walt Disney Company announced Senior Executive Vice President, General Counsel and Chief Compliance Officer Horacio Gutierrez will be its senior executive vice president, chief legal and compliance officer.
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Blog
Bumble chief legal and compliance officer to resign
Online dating app Bumble announced its chief legal and compliance officer and secretary, Laura Franco, has decided to resign.
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Chime adds chief compliance officer
Financial technology company Chime welcomed Shara Chang as chief compliance officer.
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Wood Group names Nabors CCO as group general counsel
Scotland-based consulting and engineering company John Wood Group announced Michael Rasmuson will join as group general counsel.
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News BriefLPL Financial fined $5.5M by FINRA over transaction supervision lapses
Independent broker-dealer LPL Financial agreed to pay more than $6 million as part of a settlement with the Financial Industry Regulatory Authority addressing alleged supervision failures regarding direct business transactions and the suitability of switch transactions.
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News BriefInteractive Brokers fined $3.5M in FINRA action
Electronic trading platform Interactive Brokers received a $3.5 million penalty from the Financial Industry Regulatory Authority for multiple alleged violations of the self-regulatory organization’s rules regarding execution and supervision.
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News BriefOEP Capital Advisors fined $4M over policy failures
OEP Capital Advisors agreed to pay a $4 million penalty as part of a settlement with the Securities and Exchange Commission addressing alleged deficiencies regarding the prevention of misuse of material nonpublic information.
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News BriefEx-ChristianaCare CCO wins $12M in False Claims Act settlement
The former chief compliance officer of ChristianaCare Health System will receive more than $12 million as part of a settlement addressing his allegations of kickbacks and other False Claims Act violations at the Delaware-based hospital network.
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News BriefSEC fines UAE-based Brooge Energy $5M in fraud case
Brooge Energy agreed to pay $5 million in a settlement with the Securities and Exchange Commission resolving fraud charges related to a scheme to inflate revenues.
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News BriefPURE Insurance to pay $466K in OFAC sanctions case
Insurance organization Privilege Underwriters Reciprocal Exchange agreed to pay $466,200 as part of a settlement with the Office of Foreign Assets Control addressing alleged sanctioned transactions on behalf of designated Ukrainian-Russian oligarch Viktor Vekselberg.
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News BriefFinCEN sets access rules for beneficial ownership registry
The Financial Crimes Enforcement Network made several changes suggested by commenters to a new rule allowing limited access to its beneficial ownership information registry.
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News BriefCFTC names chief data officer to boost analytic capabilities
The Commodity Futures Trading Commission announced two appointments to its Division of Data designed to help the agency leverage analytics and emerging technologies to improve its policymaking and oversight efforts.
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News BriefFTC seeking comment on proposed COPPA enhancements
The Federal Trade Commission issued a notice of proposed rulemaking to strengthen data security requirements and modernize certain aspects of the Children’s Online Privacy Protection Act Rule.
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Blog
Baldor Specialty Foods adds general counsel
Baldor Specialty Foods announced Avisheh Avini as general counsel.
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Blog
KSL promotes general counsel to partner
KSL Capital Partners, an investor in travel and leisure businesses, announced the promotion of General Counsel Kevin Rohnstock to partner.
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Blog
BBB National Programs adds NPR legal chief to board, re-elects EXL CECO
Nonprofit BBB National Programs announced the addition of NPR Chief Legal Officer, General Counsel, and Secretary Elizabeth Allen to its board. Re-elected to the board was EXL Chief Compliance and Ethics Officer Joel Katz.