All United States articles – Page 88
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PremiumDOJ official: Aspects of healthcare competition ‘broken’; antitrust enforcement can help
It’s no secret the U.S. healthcare competition system has significant flaws. Where the debate exists is in determining the source of the issues and how to fix them, according to Deputy Assistant Attorney General Andrew Forman of the Department of Justice’s Antitrust Division.
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News BriefOFAC sanctions more investment entities linked to Hamas
The Treasury Department’s Office of Foreign Assets Control imposed a second round of sanctions on investment entities believed to be funding the terrorist organization Hamas.
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News Brief
DOJ removes ‘acting’ from FCPA Unit chief’s title
The Department of Justice is sticking with David Fuhr as permanent head of its Foreign Corrupt Practices Act Unit.
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PremiumSEC’s Grewal: Being a compliance officer not a ‘get-out-of-jail’ card
Gurbir Grewal, head of the Enforcement Division at the Securities and Exchange Commission, outlined the scenarios in which the agency would charge a chief compliance officer for securities law violations.
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Creation Investments appoints chief compliance officer
Creation Investments Capital Management announced the appointment of Therese Stoch as chief operating officer and chief compliance officer.
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EEOC swears in general counsel
The Equal Employment Opportunity Commission announced the swearing in of Karla Gilbride as general counsel.
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Disney names diversity chief
The Walt Disney Company appointed Tinisha Agramonte as senior vice president and chief diversity officer.
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News BriefBanking regs release climate-related risk management framework
Federal banking regulators issued a long-promised framework that provides guidance on the safe and sound management of climate-related financial risks at large banks.
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PremiumSurvey: Risk chiefs feeling pressure from growing compliance mandates
Mounting compliance requirements and technological innovations have chief risk officers facing more complex risk environments, according to a KPMG survey.
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News BriefPCAOB fines Smythe $175K over unregistered firm use
Canada-based accounting firm Smythe agreed to pay a $175,000 penalty in settling with the Public Company Accounting Oversight Board regarding its use of unregistered firms across four issuer audits.
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News BriefSEC fines BlackRock $2.5M over inaccurate investment disclosures
BlackRock Advisors agreed to pay $2.5 million as part of a settlement with the Securities and Exchange Commission addressing allegations the firm inaccurately described investments a fund it advised made in a now-defunct film production company.
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PodcastDigital Transformation of Compliance podcast: Pure Storage CLO Niki Armstrong
In this episode of the Digital Transformation of Compliance podcast series, Niki Armstrong, chief legal officer and corporate secretary at Pure Storage, discusses how her compliance team is considering using generative artificial intelligence.
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PremiumReport faults FDIC for poor supervisory guidance on crypto assets
Uncertainty created by the Federal Deposit Insurance Corporation’s lack of clarity on risks posed by crypto assets has left member banks with the impression the agency wants banks to avoid them, according to a new report from the Office of Inspector General.
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News BriefOECD group questions Brazil’s momentum on anti-bribery
Brazil has made strides in its anti-bribery enforcement efforts, but a working group at the Organization for Economic Cooperation and Development is concerned the country doesn’t have the controls in place to sustain its progress.
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News BriefFinCEN alert flags Hamas terrorist financing indicators
The Financial Crimes Enforcement Network issued an alert warning financial institutions to be vigilant toward identifying funding streams supporting Hamas in its attacks against Israel.
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News BriefMetropolitan Commercial Bank fined $30M for third-party oversight failings
New York-based Metropolitan Commercial Bank was assessed nearly $30 million in penalties by federal and state banking regulators for failing to properly oversee a third-party program manager whose prepaid cards were a popular target of fraud during the Covid-19 pandemic.
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FSU appoints new chief compliance and ethics officer
Florida State University appointed Robert Large as its new chief compliance and ethics officer.
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Michigan governor promotes CCO to deputy chief of staff
Michigan Gov. Gretchen Whitmer promoted Maria Martinez from chief compliance officer to deputy chief of staff on her executive team.
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Lyra Therapeutics announces new chief legal officer
Clinical-stage biotechnology company Lyra Therapeutics announced the appointment of Ronan O’Brien as chief legal officer.
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University of Michigan adds first ethics, integrity, and compliance officer
The University of Michigan appointed Michelle Casey as its first ethics, integrity, and compliance officer.