All Chief Compliance Officer articles – Page 14
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PremiumKPMG survey finds CCOs gearing to add staff, increase tech spend
A new KPMG survey of chief compliance officers at Fortune 500 companies found nearly three out of every four expect to enhance their compliance functions in response to pressure from regulators and their own boards.
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Blog
SS&C Technologies names CCO for U.S. registered funds
SS&C Technologies Holdings announced the appointment of Joanne Kane as chief compliance officer for its U.S. registered funds.
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PremiumSurvey: In-house counsel salaries, bonuses decreased in 2022
In-house counsel salaries took a small step back in 2022, according to the latest analysis from executive search firm BarkerGilmore, while overall bonuses suffered a much steeper decline.
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Blog
Precision Medicine appoints general counsel, CCO
Precision Medicine Group announced the appointment of Stacey Hanna as general counsel and chief compliance officer.
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Blog
Sendero Wealth Management names general counsel, CCO
Sendero Wealth Management announced the appointment of Julie Gerron as general counsel and chief compliance officer.
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News BriefDOJ: Disbarred attorney serving as bank CCO charged for fraud role
The Department of Justice announced charges against the “purported” chief compliance officer at Dominion Bank and Trust Company Limited for allegedly taking part in a $4 million fraud scheme.
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News BriefBarclays recruits chief compliance officer from HSBC
Barclays announced the appointment of Kirsty Everett as chief compliance officer and a member of its group executive committee, effective July 1.
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Blog
Eiger appoints general counsel, chief compliance officer
Eiger BioPharmaceuticals announced the appointment of James Vollins as general counsel, chief compliance officer, and corporate secretary.
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Blog
Temple University names chief compliance officer
Temple University announced the appointment of Susan Smith, who served as interim chief compliance officer since January, as CCO.
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Blog
Wedbush Securities appoints chief compliance officer
Financial services company Wedbush Securities announced the appointment of Matt Lisle to chief compliance officer of its futures division.
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Blog
Aon recruits ex-Goldman Sachs CCO for board of directors
Financial services provider Aon announced the appointment of former Goldman Sachs Chief Compliance Officer Sarah Smith to its board of directors.
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Blog
Mather Group names chief compliance officer
Wealth management firm The Mather Group announced the appointment of Stuart Evans as chief compliance officer.
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Blog
Cenlar FSB appoints chief compliance officer
Mortgage loan subservicer Cenlar FSB announced the appointment of Marlon Groen as chief compliance officer.
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Dextra Partners names general counsel, chief compliance officer
Private equity firm Dextra Partners announced the hiring of Lorne Smith as general counsel and chief compliance officer.
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Blog
Newpark Resources promotes deputy GC to general counsel, CCO
Oil and gas company Newpark Resources announced the promotion of Deputy General Counsel and Assistant Corporate Secretary M. Celeste Frugé to general counsel and chief compliance officer.
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OpinionMessaging history damning in CFTC case against ex-Binance CCO
A cryptocurrency firm with a chief compliance officer found to not be handling the responsibilities of their role seriously is likely to face additional regulatory scrutiny, as evidenced by the Commodity Futures Trading Commission’s action against Binance.
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ArticleNomination deadline closed for 2023 ‘Excellence in Compliance Awards’
The nomination deadline for CW’s fourth annual “Excellence in Compliance Awards” closed March 31. Winners will be announced in May.
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News BriefEx-CCO of Rochester Drug Co-operative spared jail time after testifying
The former chief compliance officer of Rochester Drug Co-operative received no jail time after pleading guilty to aiding widescale opioid distribution and testifying against his former chief executive officer.
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News BriefReport: Disney parts with CCO, adds duties to general counsel
The Walt Disney Company is reportedly parting with Chief Compliance Officer Alicia Schwarz, whose responsibilities will be assumed by General Counsel Horacio Gutierrez.
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News Brief
SEC warns newly registered advisers of overburdening CCOs
Investment advisers newly registering with the SEC have been observed not devoting sufficient resources to their chief compliance officers, sometimes ladling additional responsibilities on the role that take away from time to focus on compliance.