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Grapevine
Compliance Week regularly tracks personnel moves, including the appointments of compliance, governance and risk officers and executives. Key changes at boards of directors are also tracked, as are changes at regulatory bodies. Please submit announcements to Compliance Week's Jaclyn Jaeger. Also, don't forget to check out Compliance Week's Compliance Week's Jobs section for the latest job postings.
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Grapevine Blog
SEC names Kurt Gottschall director of Denver office
Scuttlebutt | November 21, 2018
The Securities and Exchange Commission named veteran staffer Kurt L. Gottschall director of the Denver regional office, where he will lead a staff of more than 100 enforcement agents.
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Grapevine Blog
Tesla names new chairman of the board
Joe Mont | November 8, 2018
Tesla has named a new chairman of the board, Robyn Denholm, to replace founder and CEO Elon Musk. She takes on the post after serving as CFO for Telstra, Australia’s largest telecommunications company.
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Grapevine Blog
Charles Cain named chief of FCPA Unit
Scuttlebutt | November 3, 2017
The Securities and Exchange Commission has named Charles Cain chief of the Enforcement Division's national specialized Foreign Corrupt Practices Act Unit that focuses on violations of the anti-bribery provisions of the federal securities laws.
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Grapevine Blog
Former SEC Enforcement Director joins King & Spalding
Scuttlebutt | September 20, 2017
Richard Walker, former Director of Enforcement at the Securities and Exchange Commission, has joined international law firm King & Spalding as a partner in the Special Matters & Government Investigations group, resident in the New York office.
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Grapevine Blog
SEC names director of DERA
Scuttlebutt | September 5, 2017
The Securities and Exchange Commission has named Jeffrey Harris as director of the agency's Division of Economic and Risk Analysis (DERA). He replaces former director Mark Flannery, who left the agency to return to teaching.
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Grapevine Blog
Chairman Clayton names executive staff
Scuttlebutt | September 5, 2017
The Securities and Exchange Commission has named seven individuals to the executive staff of Chairman Jay Clayton.
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Grapevine Blog
Investment Management Director David Grim to Leave SEC
Scuttlebutt | August 7, 2017
David Grim, director of the Division of Investment Management at the Securities and Exchange Commission, will leave the agency in September after more than 20 years of public service.
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Grapevine Blog
Kara Brockmeyer, Chief of FCPA Unit, to leave SEC
Scuttlebutt | April 5, 2017
Kara Brockmeyer, Chief of the Enforcement Division’s Foreign Corrupt Practices Act Unit, is planning to leave the agency later this month, the Securities and Exchange Commission announced.
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Grapevine Blog
Former SEC Enforcement Director rejoins Debevoise
Scuttlebutt | January 31, 2017
Andrew Ceresney, who served from April 2013 to December 2016 as the Director of Enforcement at the Securities and Exchange Commission, will return to the law firm Debevoise as co-chair of the litigation department, where he will practice primarily in the White Collar & Regulatory Defense Group.
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Grapevine Blog
Former SEC Associate Regional Director joins WilmerHale
Scuttlebutt | October 13, 2016
Lorraine Echavarria, the former head of enforcement in the Securities and Exchange Commission's Los Angeles office, has joined WilmerHale's securities litigation and enforcement practice as a partner based in WilmerHale's Los Angeles office.
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Grapevine Blog
Mary Schapiro Joins CAQ Governing Board
Scuttlebutt | July 10, 2015
Mary Schapiro, former chairman of the U.S. Securities and Exchange Commission, has joined the Center for Audit Quality's Governing Board. Schapiro will serve as one of three independent Governing Board members who come from outside the public company auditing profession. Details inside.
Displaying 11 results