All Chief Compliance Officer articles
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News BriefCCO who was ‘sole person controlling’ investment firm charged with recidivist concentration violations
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.
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News BriefFirm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
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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PremiumQ&A: Hellenic Bank CCO on progress made to fight corruption in Cyprus
Maria Aristidou Demetriou, chief compliance officer at Cyprus-based Hellenic Bank, spoke to Compliance Week about derisking in the Cypriot banking sector since Russian’s invasion of Ukraine and efforts to combat corruption, money laundering, and sanctions evasion.
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Blog
UAE-based crypto solutions provider Scintilla names CCO
Scintilla, a cryptocurrency solutions provider based in the United Arab Emirates, announced the appointment of Janey Schueller as its new chief compliance officer.
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ArticleCW nomination deadline for 2025 ‘Excellence in Compliance Awards’ closed
The nomination deadline has closed for Compliance Week’s sixth annual “Excellence in Compliance Awards.”
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Blog
Wedgewood appoints CCO, GC
Wedgewood, the largest veterinary compounding pharmacy and a trusted provider of online pharmacy services, announced the appointment of Benjamin Daniels in the newly created role of chief compliance officer and general counsel.
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Tokinvest appoints chief compliance officer
Tokinvest, a marketplace that connects real-world asset issuers with investors, announced the appointment of Mike Mingee as chief compliance officer and money laundering reporting officer.
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Cornell Capital promotes CCO to partner
Cornell Capital announced the promotion of Jennifer Cattier, who joined as chief operating officer and chief compliance officer in 2022, to partner.
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Liberty Mutual Insurance names CCO
Liberty Mutual Insurance announced that Nicole Arangio has been named executive vice president and chief compliance officer, effective Apr 1.
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Norm Ai names New York Life Insurance CCO to Regulatory Advisory Board
Norm Ai, which provides an AI-powered regulatory compliance platform for the legal and compliance industries, announced that New York Life Insurance’s Chief Compliance Officer Sandi Tillotson has joined its Regulatory Advisory Board.
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Perigon Wealth Management names GC, CCO
Perigon Wealth Management announced it has hired Jonathan Robbins as general counsel and chief compliance officer.
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Thunes appoints chief compliance officer
Cross-border payments network Thunes announced the appointment of Peter Cohen as its new chief compliance officer.
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Walker & Dunlop names GC, compliance chief
Commercial real estate finance and advisory services firm Walker & Dunlop announced that Dan Groman will be its executive vice president, general counsel, secretary and chief compliance officer.
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Vantage Drilling appoints GC, compliance chief
Vantage Drilling International announced that Sarah French has assumed the role of general counsel, chief compliance officer and corporate secretary.
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Antelope Enterprise announces compliance chief
Antelope Enterprise Holdings Limited, a provider of electricity through natural gas power generation, announced the appointment of Junjie Dong as the new corporate secretary and chief compliance officer.
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1inch appoints new compliance chief
Crypto trading firm 1inch announced the appointment of Hedi Navazan as the group’s new chief compliance officer.
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Premier Transportation appoints compliance chief, GC
Premier Transportation named Shiriki Jones, ESQ, as chief compliance officer, general counsel.
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CS Disco announces GC, compliance chief
DISCO, AI-enabled legal technology provider, announced that Susan Garcia has joined the company as general counsel and chief compliance officer.
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Coherent names legal, compliance chiefs
Coherent Corp, provider of materials, networking, and lasers, announced that it has appointed Rob Beard as the company’s new chief legal and global affairs officer, and corporate secretary. The company has also promoted Marie Batz Martin to chief compliance officer.
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OpenAI appoints compliance chief
OpenAI welcomed Scott Schools as its chief compliance officer.