All Chief Compliance Officer articles – Page 13
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Blog
SIG Sauer names CCO, general counsel
Firearms manufacturer SIG Sauer announced the appointment of Laurence Grayer as executive vice president, general counsel and chief compliance officer.
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Blog
First Hawaiian promotes risk, compliance execs
First Hawaiian, the parent company of First Hawaiian Bank, announced the promotions of its deputy chief risk officer and chief compliance officer.
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News BriefCCO among 12 individuals charged in DOJ, SEC insider trading sweep
The Department of Justice and Securities and Exchange Commission announced charges against a dozen individuals across four separate insider trading cases, including an alleged scheme involving the chief compliance officer of an international payment processing company.
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News BriefLawsuit: Ex-FTX CCO bribed whistleblowers into silence
The former chief compliance officer at cryptocurrency exchange FTX paid off whistleblowers and their lawyers trying to expose the company’s fraud, according to a lawsuit filed in bankruptcy court by FTX and its debtors.
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Blog
Teleperformance appoints chief legal, compliance officer
Business services company Teleperformance announced the appointment of Teri O’Brien as chief legal and compliance officer.
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News Brief
SEC bars convicted ex-CCO at investment adviser from industry
The convicted former chief compliance officer at an unnamed New York-based investment adviser was barred from working in the industry by the Securities and Exchange Commission.
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Blog
Centrus Energy promotes director of compliance to acting GC, CCO
Nuclear power company Centrus Energy Corp. announced the promotion of Senior Assistant General Counsel and Director of Legal Affairs and Corporate Compliance Shahram Ghasemian to acting general counsel, chief compliance officer, and corporate secretary.
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Blog
Silverado Senior Living appoints VP of legal & risk, CCO
Silverado Senior Living announced the appointment of Kristina Hulsey as vice president of legal and risk and chief compliance officer.
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Blog
Mariva Capital Markets recruits CCO from Beta Capital Securities
Financial services veteran Robert Lebowitz joined Mariva Capital Markets as chief compliance officer.
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News BriefPharmacy holding company CCO convicted in $50M Medicare fraud
Steven King, the chief compliance officer of a defunct pharmacy holding company, was found guilty of conspiracy to commit healthcare fraud and wire fraud for unnecessarily billing Medicare for more than $50 million in medical supplies.
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News BriefSEC rule prohibits manipulating CCOs at security-based swaps
The Securities and Exchange Commission adopted two rules aimed at curbing potential misconduct in the security-based swaps market.
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Blog
Amtrak recruits CCO from MassDOT
The chief compliance officer at the Massachusetts Department of Transportation, Maria Buccieri, is departing the agency for a compliance role with the National Railroad Passenger Corporation.
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OpinionHighlights from Compliance Week 2023
Significant changes in policy and technology, in addition to fresh perspectives on tried-and-true compliance topics, highlighted the discussion at Compliance Week’s 2023 National Conference.
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PremiumTech think tank participants tackle TPRM, MDM, off-channel comms at CW2023
With new technology tools come risks that can’t be denied, a think tank comprised of senior compliance professionals discussed at Compliance Week’s 2023 National Conference.
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PremiumCW2023 think tank: Compliance officers grapple with post-pandemic world
Senior-level compliance professionals granted anonymity met to candidly discuss the compliance officer’s role in a post-pandemic environment during a Day 1 think tank at Compliance Week’s 2023 National Conference.
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ArticleGreat connector Bill Burtis celebrated by colleagues as CCO of the Year
Bill Burtis, affable chief compliance officer of networking and cybersecurity solutions company Juniper Networks, was named CCO of the Year at the 2023 Excellence in Compliance Awards.
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Blog
PROG Holdings promotes governance chief to chief legal, compliance officer
Financial technology holding company PROG Holdings announced the promotion of Todd King to chief legal and compliance officer, effective May 15.
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News BriefNYDFS proposes enhanced character reviews for bank officers, including CCOs
Banks operating in New York would have to step up their vetting of executives and senior officers, including chief compliance officers, under new guidance proposed by the New York State Department of Financial Services.
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Blog
Sionic recruits CCO from PayPal
Digital payments provider Sionic announced the appointment of Susan Currey as chief compliance officer.
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Blog
Fortress Trust names chief compliance officer
Fortress Trust announced the appointment of Richard Booth as chief compliance officer.