OneSpan Inc. appoints Lara Mataac as General Counsel and Chief Compliance Officer, leading the legal team and overseeing corporate governance and compliance.
Author: admin
Callodine Commercial Finance’s hires Manulife’s Stephen Rainville as CFO/COO/CCO
Oz Street, the company’s current CFO, COO, and CCO, will retire after 15 years of service with CCF and its predecessor firms, according to a statement released today by Callodine Commercial Finance. To replace Mr Street in his position, CCF has hired Manulife’s Stephen Rainville.
Yet more fines against J.P. Morgan by the SEC
J.P. Morgan Securities LLC fined $750,000 by the SEC for failing to implement reasonable controls and supervisory procedures. The firm’s supervisory procedures did not address handling, documenting, and reviewing soft block overrides, resulting…
NEW YORK STATE fines OneMain LLC $4,250,000 for Cybersecurity breaches
OneMain is a sub-prime lender operating in 44 US states, with a reported turnover of $4.37 billion in annual revenue in 2021. An audit carried out by the DEPARTMENT OF FINANCIAL SERVICES found deficiencies…
SEC Institutes cease-and-desist proceedings against Gartner
The Commission found that Gartner violated the anti-bribery, books and records, and internal accounting control provisions of the Foreign Corrupt Practices Act of 1977 (FCPA) as a result of a scheme to…
Microsoft required to pay $20 million to settle FTC allegations that it unlawfully collected personal data from children without their parents’ consent.
Microsoft will pay $20 million to settle Federal Trade Commission charges that it violated the Children’s Online Privacy Protection Act (COPPA) by collecting personal information from children who signed up to its…
Florida Chief Compliance Officer Convicted by federal jury for $50 million Medicare fraud
A federal jury has convicted Steven King, 45, of conspiracy to commit health care fraud and wire fraud. King, the chief compliance officer of a pharmacy holding company, fraudulently billed Medicare over…
US FINTECH Firm Expands Policy & Regulatory Advisory Board to Keep up With Changing Regulation
Synapse Expands Policy & Regulatory Advisory Board
US based Healthcare Provider AIS Appoints New Deputy Chief Compliance Officer From Cigna Health
AIS Healthcare Announces New Hire to Legal Team
UGI Appoints Kathleen Shea Ballay as General Counsel; Monica Gaudiosi to Retire
Kathleen Shea Ballay has been appointed General Counsel and Chief Legal Officer, UGI Corporation effective on June 12. Monica Gaudiosi is retiring as UGI’s Vice President, General Counsel, and Secretary, but will…