From the Archive

The chairman of the Ontario Securities Commission confirmed this week that the OSC’s new whistleblower office is expected to receive final approval in June 2016 and begin operations in “early summer” 2016. The OSC will be the first securities regulator in Canada to adopt a whistleblower program.

Calvert Investments has appointed Jason Rosenberg as chief compliance officer for the investment advisor and broker-dealer. Rosenberg is the latest in a series of recent hires by Calvert to ensure a strong culture of compliance.

Tenet Healthcare has appointed Howard Hacker as chief compliance officer, effective May 2. He will succeed Vanessa Benavides, who left Tenet to assume the leadership of compliance and privacy operations at Kaiser Permanente.

Dean Jeske, Deputy Regional Chief Counsel in the Enforcement Department of the Financial Industry Regulatory Authority, is returning to the securities enforcement and litigation practice of law firm Foley & Lardner as a partner in the firm’s Chicago office.

Stephanie Brooker, director of the Enforcement Division of the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN), has joined law firm Gibson Dunn its Washington, D.C. office as a partner. At Gibson Dunn, Brooker will focus on financial services related criminal and regulatory enforcement, compliance, and litigation.

Exterran has appointed Ray Carney as chief accounting officer. Carney brings to Exterran a 27-year accounting career. Most recently, he spent eight years with Dresser-Rand Group, serving as its vice president, controller and chief accounting officer.

AMMB Holdings today announced the appointment of Faradina Mohammad Ghouse as igroup chief compliance officer, effecitve as of March 15.

Hertz Global Holdings has named Rick Frecker as acting general legal counsel, following the resignation of Thomas Sabatino, who is joining Aetna as executive vice president and general counsel, law and regulatory. Frecker, who has been with Hertz since 2008, has served as vice president and deputy general counsel for the company since 2013.

Eric Stock, chief of the Antitrust Bureau at the New York Attorney General’s Office, will join law firm Gibson, Dunn & Crutcher as a partner in New York, where he will focus on antitrust litigation and investigations, as well as merger review, effective June 1.