A broker-dealer subsidiary of Toronto-based BMO Financial Group will pay nearly $41 million in penalties to the Securities ...

The Consumer Financial Protection Bureau has issued a proposed rule aimed at protecting the privacy of the public when using ...

Stratus Financial announced the appointment of Sajal Agarwal as the company’s new chief risk officer. Agarwal has held senior roles at global financial institutions including Capital One, Wells Fargo, ...

Goya Foods announced the appointment of Jesús Vázquez as its new general counsel. Before embarking on a legal career, Vázquez spent seven years in the aerospace industry, specifically as a guidance ...

A cannabis company agreed to pay $225,000 to settle allegations that funds were temporarily deposited into its year end accounts for the sole purpose of inflating year-end cash, the Securities and ...

Tyler Technologies announced that Bill Van Asselt has been promoted to chief legal officer and assumes direct leadership of the legal team. Van Asselt joined Tyler through the acquisition of NIC, in ...

Incline P&C Group, a property and casualty insurance program market services firm, announced the appointment of Sheel Patel as chief risk and strategy officer. Patel moves into the CRSO role after ...

Portuguese bank Novo Banco, S.A., fired Chief Risk Officer Carlos Jorge Ferreira Brandão “with just cause” after an internal probe discovered “suspicious financial transactions” in his sphere. In an ...

Real estate investment trust Welltower announced that Matthew McQueen has been appointed chief legal officer after previously serving as executive vice president – general counsel. McQueen joined ...

APA Corporation, which owns consolidated subsidiaries that explore for and produce oil and natural gas in the United States, Egypt and the United Kingdom, has named Kimberly Warnica to the position of ...

Experian, the credit reporting giant, let compliance slide when it came to addressing consumer complaints about incorrect data, the Consumer Financial Protection Bureau (CFPB) said in a lawsuit ...

Vince McMahon, the founder and former CEO of World Wrestling Entertainment, was fined $400,000 and ordered to reimburse WWE more than $1.3 million to settle charges brought by the Securities and ...