All Compliance Week articles in Web Issue – Page 85
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News BriefSCOTUS reaffirms whistleblower protections in ruling against UBS
The Supreme Court reaffirmed whistleblower protections guaranteed under the Sarbanes-Oxley Act in a unanimous decision expected to set a precedent that impacts all corporate internal reporting cases.
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PremiumThe blurred lines of employee monitoring under GDPR
The French data regulator’s fine against an Amazon warehouse manager for violating employees’ rights to privacy in the workplace once again raises questions about what constitutes an overzealous approach to employee monitoring and why companies fail to recognize the signs.
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Blog
Advarra names general counsel
Clinical research review services firm Advarra announced the hiring of Marco Capasso as general counsel and secretary of the board.
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Altria Group announces new general counsel
Tobacco products company Altria Group announced the appointment of Robert McCarter as executive vice president and general counsel.
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Covenant Clearinghouse hires general counsel
Covenant Clearinghouse, a servicer of real estate assessments, welcomed Jeff Johnson as in-house general counsel.
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Blog
EnGene Holdings announces legal chief
EnGene Holdings, a clinical-stage genetic medicines company, announced the appointment of Lee Giguere as chief legal officer and corporate secretary.
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Blog
Kimberly-Clark appoints general counsel
Kimberly-Clark Corp., manufacturer and marketer of personal care and household products, announced the appointment of Grant McGee as senior vice president and general counsel.
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News BriefLatest SEC off-channel comms sweep nets $81M in fines against 16 firms
The ongoing off-channel communications sweep by the Securities and Exchange Commission netted 16 more broker-dealers and investment advisers, with the latest wave of fines totaling more than $81 million.
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PremiumTable: SEC, CFTC off-channel communications penalties
The Securities and Exchange Commission and Commodity Futures Trading Commission have combined to levy nearly $3.5 billion in penalties (so far) against firms and their affiliates in response to recordkeeping failures regarding employee use of off-channel communications for business purposes.
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News BriefSEC, CFTC adopt rule for enhanced large hedge fund disclosures
Large hedge fund advisers will be required to disclose more information on their investment strategies, investment exposure, operations, and more as part of a rule change jointly adopted by the Securities and Exchange Commission and Commodity Futures Trading Commission.
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PremiumAnti-fraud groups praise FinCEN AML proposal for real estate transactions
The Financial Crimes Enforcement Network issued a notice of proposed rulemaking that would require the handlers of all-cash residential real estate transactions in all U.S. cities and counties to disclose the beneficial owners.
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News BriefRaytheon parent discloses indications of improper payments in Middle East
RTX Corp., parent company of aerospace and defense giant Raytheon, disclosed an internal investigation launched into potential improper payments in connection with contracts in the Middle East found indications of misconduct.
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News BriefPenn State Health to pay $11.7M over self-disclosed Medicare violations
Multihospital healthcare system Penn State Health agreed to pay more than $11.7 million to resolve self-disclosed violations of Medicare rules related to improper billing.
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Blog
Lucid announces new general counsel
Electric vehicle company Lucid Group announced the appointment of Matt Everitt as general counsel.
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Blog
PCF Insurance Services hires general counsel
PCF Insurance Services appointed Adam Reed as general counsel.
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Blog
EnCore Energy adds ProFrac CCO as chief legal officer
EnCore Energy announced the appointment of Robert Willette as chief legal officer.
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Blog
UniBank promotes risk chief to interim CEO
U & I Financial Corp., the holding company of UniBank, announced the board of directors appointed Stephanie Yoon, executive vice president and chief risk officer, to interim chief executive officer.
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Blog
SNG appoints group general counsel
U.K.-based housing association Sovereign Network Group appointed Kirsten Keegan as its group general counsel.
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WebcastCPE Webcast: TPRM: Time to change how you approach vendor assessments
Forward-thinking third-party risk management teams are changing the way they approach vendor assessments.
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News BriefMontefiore Medical Center to pay $4.8M over employee’s data theft
Montefiore Medical Center agreed to pay $4.75 million to settle allegations by the Department of Health and Human Services’ Office for Civil Rights that failures by the New York City nonprofit facility allowed an employee to steal and sell patient information for six months.