By CW Staff2016-02-08T14:00:00
Allianz Life Insurance Company of North America and Allianz Life Insurance Company recently hired Steve Koslow as chief compliance officer to oversee the compliance management system for insurance, broker/dealer and investment advisor regulated business, as well as compliance with legal and regulatory requirements.
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2026-01-19T15:21:00Z By Aaron Nicodemus
Nominations for the 2026 Excellence in Compliance Awards are no longer being accepted. Look for finalists to be announced later in March!
2025-03-19T11:53:00Z By Adrianne Appel
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
2025-03-12T16:01:00Z By Adrianne Appel
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
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