On Sept. 16, 2009, Compliance Week and Navigant Consulting presented an exclusive editorial roundtable about compliance practices at financial services firms. A top concern among the executives who appeared at the forum, held at The Mandarin Oriental Hotel in Boston, was how to ensure that compliance and risk-management programs keep pace with new and evolving […]
Jaclyn Jaeger
Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal, enforcement, technology, and more. Prior to joining CW, she spent four years as a legal reporter for Lawyer’s Weekly. Jaclyn attended undergraduate school at St. Joseph’s College of Maine and graduate school at Emerson College, earning degrees in journalism.
Posted inBoards & Shareholders
Splitting the Chair, CEO Role: Practical Considerations
From shareholder pressures to recent regulatory and legislative reform, the contentious question of splitting the chief executive officer and board chairman roles may soon become a reality for U.S. companies. But preparing for such a shift in leadership requires an equally important shift in corporate culture, which most companies aren’t prepared for, experts say. With […]
Posted inFrom the Archive
Duke Energy Names Chief Risk Officer
Duke Energy has named Swati Daji, formerly vice president of deal structuring and contract management for the company’s Franchised Electric and Gas business segment, as chief risk officer. She assumes the role from Senior Vice President and Treasurer Stephen De May. Daji will be responsible for corporate risk management, with particular focus on the company’s […]
Posted inFrom the Archive
New SEC Risk Division Names Senior Policy Advisor
The Securities and Exchange Commission has named Gregg Berman senior policy advisor in its newly established Division of Risk, Strategy, and Financial Innovation. Berman comes to the SEC from the RiskMetrics Group, a company that focuses on risk management, corporate governance, and financial research and analysis. Berman held several senior positions during his 11-year tenure […]
Posted inFrom the Archive
Taylor Transfers to Weaver and Tidwell Austin Office
Law firm Weaver and Tidwell has announced that Joe Taylor has recently transferred from the firm’s Dallas office to the firm’s Austin office as the director of state and local tax services. Taylor leads the firm’s SALT services group which addresses state income and franchise taxes, sales and use taxes, property tax, nexus, audit management, […]
Posted inFrom the Archive
Investment Professionals Names New CCO
Investment Professionals, a private, Texas-based investment and insurance brokerage and asset management firm with $4.2 billion under management and 45,000 clients nationwide, has named Richard Dullnig to the new position of chief compliance officer. Dullnig, who has 19 years of experience in the financial services industry, was previously a branch manager with H&R Block Financial […]
Posted inRegulatory Enforcement
Court Ruling Expands e-Discovery Protections
Corporate legal departments have caught another break on the e-discovery front, thanks to an appeals court ruling that reaffirms the idea that electronic data seized during a criminal investigation can’t be retained unless it’s in the scope of a search warrant. The ruling also gives a de facto blueprint for both government agents and judges […]
Posted inFrom the Archive
Visteon Corporation Names General Counsel
$9.5 billion Visteon Corporation, a global automotive supplier based in Van Buren Township, Mich., has named Michael Sharnas vice president and general counsel. In this new capacity, he will be responsible for the company’s global legal activities. Sharnas joined Visteon in 2002 as associate general counsel and has served as assistant general counsel since 2005. […]
Posted inFrom the Archive
Shaw Group Names General Counsel
The Shaw Group, a $7 billion engineering and construction contractor for the power generation market, has appointed John Donofrio to the position of executive vice president, general counsel, and corporate secretary, effective Oct. 5. Donofrio joins Shaw from Visteon Corporation, a global automotive supplier of innovative products to vehicle manufacturers, where he was senior vice […]
Posted inFrom the Archive
Barnes & Thornburg Adds New Lawyer
Barnes & Thornburg has hired Patrick Brady to its white-collar crime defense group. Brady, who has a significant background in corporate financial investigations and counseling and has particular expertise in issues relating to the Foreign Corrupt Practices Act, will be located in the firm’s Chicago office. Brady joins Barnes & Thornburg after spending four years […]
