All United States articles – Page 97
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Blog
JFrog names chief legal officer
Software company JFrog announced the appointment of Shanti Ariker as chief legal officer.
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PremiumQ&A: Lexmark sustainability chief on defying ESG criticism to ‘stay the course’
John Gagel, chief sustainability officer for Lexmark International, shares with Compliance Week why the private company tracks its greenhouse gas emissions and plans to comply with the climate-related disclosure rule proposed by the Securities and Exchange Commission.
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Blog
Distinguished Programs appoints general counsel
Insurance company Distinguished Programs announced the appointment of Ursula Kerrigan as general counsel.
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Blog
Esquire Financial names chief legal officer
Esquire Financial, the holding company for Esquire Bank, announced the appointment of Gary Lax as senior vice president, chief legal officer and corporate secretary.
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Blog
HomeTrust Bank recruits Southern First Bank CCO for chief risk role
HomeTrust Bancshares, the holding company of HomeTrust Bank, announced the appointment of Lora Jex to executive vice president and chief risk officer.
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News BriefNetwork 1, CCO fined by FINRA for Reg BI failures
Network 1 Financial Securities and its chief compliance officer agreed to pay approximately $740,000 combined, plus interest, as part of a settlement with the Financial Industry Regulatory Authority addressing alleged Regulation Best Interest compliance failures.
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Blog
Moody’s promotes analytics unit GC to general counsel
Moody’s Corp. announced the promotion of its analytics subsidiary General Counsel Richard Steele to senior vice president and general counsel.
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Blog
MTA names chief diversity and inclusion officer
The Metropolitan Transportation Authority announced the appointment of Lourdes Zapata as chief diversity and inclusion officer.
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News BriefSEC fines Fluor $14.5M over accounting lapses
Engineering and construction company Fluor Corp. agreed to pay $14.5 million to settle allegations by the Securities and Exchange Commission that accounting deficiencies led to restatements on nearly three years of financial statements.
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News BriefSEC risk alert warns investment advisers over exam determinations
How the Securities and Exchange Commission determines which investment advisers to inspect and what areas those examinations typically cover were among subjects addressed in a new risk alert released by agency staff.
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News BriefVerizon unit to pay $4.1M in cybersecurity false claims case
Verizon Business Network Services agreed to pay approximately $4.1 million to settle allegations levied by the Department of Justice regarding false claims caused by failure to fully implement cybersecurity controls required of a government contractor.
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News BriefSEC fines five in latest custody rule sweep
The Securities and Exchange Commission announced penalties against five investment advisers as part of its second targeted sweep regarding violations of its custody rule and Form ADV requirements.
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Blog
Sierra Bancorp appoints chief risk officer
Sierra Bancorp, the parent company of Bank of the Sierra, announced the appointment of Natalia Coen to executive vice president and chief risk officer.
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Blog
Ceribell names general counsel
Medical device company Ceribell announced the appointment of Louisa Daniels as general counsel.
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Blog
Pax8 appoints first chief compliance officer
Information technology and cloud services provider Pax8 announced the appointment of Mary Gill as its first chief compliance officer.
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PremiumFrom 5 to 11: Keeping up with new state data privacy laws
If multi-state businesses thought at the start of 2023 complying with a patchwork of U.S. state privacy laws was going to be a lot of work, now they must be overwhelmed. Experts assess the fast-evolving U.S. privacy landscape.
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News Brief
Prime Group to pay $20.6M in SEC fee disclosure case
Prime Group Holdings agreed to pay $20.6 million as part of a settlement with the Securities and Exchange Commission resolving allegations it failed to adequately disclose it paid millions of dollars in fees to a real estate brokerage firm owned by its CEO.
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News BriefDiscover sued by investors over lax compliance procedures
Discover Financial Services faces a class-action lawsuit from investors alleging materially false and misleading statements regarding its business, operations, and compliance policies.
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PremiumQ&A: Zeta CCO on leading innovation with compliance
Karla Booe, chief compliance officer for Zeta Services, discusses with Compliance Week how the card processor bakes compliance into its decision-making process for new technologies and product offerings.
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News Brief
FCPA opinion shines light on reasonable expenses for foreign officials
A Foreign Corrupt Practices Act review published by the Department of Justice offers further clarity around when the agency would determine expenses paid on behalf of a foreign official to be deemed “reasonable and bona fide.”