The New York Stock Exchange has announced several management promotions. They are as follows: James Draddy, chief regulatory officer of NYSE Arca, has been promoted to executive vice president. Draddy has overall responsibility for overseeing and directing the regulation of equities and options trading on NYSE Arca, including exchange traded funds, exchange traded notes, and […]
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 inAccounting & Auditing
A Discussion With IIA President Richard Chambers
In the latest of our conversations with compliance and governance executives, we catch up with Richard Chambers, newly elected president of the Institute of Internal Auditors. In January 2009, the IIA elected Chambers to assume the position of the global professional association’s president. He succeeds David Richards, who retired after serving as president since 2004. […]
Posted inFrom the Archive
New Chief Risk Officer at Duke Energy
$12.7 billion Duke Energy has appointed company Treasurer Stephen De May as senior vice president, treasurer, and chief risk officer. In addition to his current responsibilities as treasurer, he will manage the company’s exposure to financial and other risks as chief risk officer. De May has played a central role in ensuring the company’s continued […]
Posted inAccounting & Auditing
PwC Welcomes Two New Tax Experts
PricewaterhouseCoopers has announced that Darrell Poplock has returned to the firm as a partner in the Federal Tax Services Group. In his most recent role, Poplock served on the Joint Committee on Taxation. Prior to his tenure on the Joint Committee on Taxation, Poplock served in various roles at PwC where he spent time in […]
Posted inFrom the Archive
Wal-Mart Creates U.S. Administrative, Compliance Post
$378.8 billion Wal-Mart Stores, the world’s largest retailer, has appointed Tom Mars to serve in the newly created roles of executive vice president and chief administrative officer of Wal-Mart, United States. In this role, Mars will handle human resources operations for the division as well as oversee the compliance department. Previously general counsel of Wal-Mart, […]
Posted inBoards & Shareholders
Sun Life Financial Elects New Board Member
$18.3 billion Sun Life Financial has elected James Sutcliffe to its board of directors. Sutcliffe retired as Group CEO of Old Mutual plc, an international savings and wealth management company, in September 2008. Prior to joining Old Mutual in January 2000, Sutcliffe was a senior executive with Prudential plc, an international retail financial services group. […]
Posted inFrom the Archive
Financial Accounting Foundation Elects New Chairman
The Financial Accounting Foundation has elected John Brennan as the new chairman and a member of its board of trustees. The FAF is the independent, private-sector organization responsible for the oversight of the Financial Accounting Standards Board and the Governmental Accounting Standards Board. Brennan succeeds outgoing FAF Chairman, Robert Denham, a senior partner at the […]
Posted inFrom the Archive
Boeing Announces Leadership Changes
$66.3 billion Boeing has announced a series of personnel moves within its corporate and business unit Finance organizations. The changes are effective immediately. Commercial Airplanes CFO Rob Pasterick has been named vice president of finance and corporate controller, reporting to Boeing Corporate President and CFO James Bell. Pasterick has held a variety of key finance […]
Posted inRegulatory Enforcement
Insider-Trading Activity Keeps Marching Upward
The New York Stock Exchange is reporting a record number of insider-trading cases from 2008, but who is committing the alleged infractions is what’s raising eyebrows. New York Stock Exchange Regulation referred 146 cases of suspected insider trading to the Securities and Exchange Commission in 2008, surpassing 2007’s numbers (another record year) by five cases. […]
Posted inFrom the Archive
SEC Chooses New General Counsel
The Securities and Exchange Commission has tapped David Becker, a partner at Cleary Gottlieb Steen & Hamilton, to be the SEC’s general counsel and senior policy director. The appointment is Chairman Mary Schapiro’s first since she took office. As general counsel, Becker will coordinate legal cases and advise on enforcement actions, and will have an […]
