All Chief Compliance Officer articles – Page 14
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CHS Hedging AML controls criticized in $6.5M CFTC action
CHS Hedging, a Minnesota-based futures commission merchant, was fined $6.5 million by the Commodities Futures Trading Commission for AML program gaps and other risk management and recordkeeping failures regarding a ranch owner customer committing fraud.
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BNP Paribas names new head of compliance
BNP Paribas, France’s largest bank, announced the appointment of Stéphanie Maarek as its new head of compliance. She succeeds Nathalie Hartmann, who held the role since 2017.
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ASX appoints chief compliance officer
The Australian Securities Exchange announced the appointment of Daniel Moran as chief compliance officer, effective Jan. 1, 2023.
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Cureatr adds chief compliance officer
Medication management platform Cureatr announced the hiring of Tracy Tracy as chief compliance officer.
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Does ESG offer opportunity? Or is it just another area for compliance friction?
Compliance practitioners share their experiences navigating responsibilities related to environmental, social, and governance without stepping on the toes of other colleagues.
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CCO/CECO salary data: Five noteworthy trends
Chief compliance officers are earning more than before compared to previous years of our “Inside the Mind of the CCO” survey, though trends like differences in gender pay persist.
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Equitybee names chief compliance officer
Financial solutions startup Equitybee announced the appointment of Susan Woodard as chief compliance officer. She will also serve as chief executive officer for Equitybee Securities.
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Pressure on business or individual? CCOs torn on DOJ certifications
The Department of Justice’s new CCO certification requirement drew mixed reviews from respondents to our “Inside the Mind of the CCO” survey, with many questioning whether the policy might backfire on the compliance profession.
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Terex adds sustainability to chief compliance officer’s title
Global manufacturer Terex Corp. announced Stacey Babson Kaplan has been promoted to senior vice president, chief sustainability and compliance officer.
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DOJ calling out compliance with 2022 policy shifts
If it seems the Department of Justice has compliance officers in its crosshairs with its controversial policy changes this year, that’s because it does. Some respondents to our annual “Inside the Mind of the CCO” survey embrace the challenge, while others are still skeptical.
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NextPlat names chief compliance officer
Global e-commerce provider NextPlat Corp. announced the hiring of Robert Bedwell as chief compliance officer.
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Argand Partners adds CCO, general counsel
Private equity firm Argand Partners announced the addition of Samantha Katz as general counsel and chief compliance officer.
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Dollar Tree fills compliance, diversity, sustainability officer roles
Discount retailer Dollar Tree announced the appointments of three different executives to lead its compliance (Jennifer Bohaty), diversity (Terence Goods), and sustainability (Jennifer Silberman) efforts.
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Buzzfeed promotes CCO to chief legal officer
Media outlet Buzzfeed disclosed the promotion of Senior Vice President, Chief Compliance Officer and Head of Litigation David Arroyo to chief legal officer and corporate secretary.
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Former investment adviser CCO pleads guilty to wire fraud
Jennifer Campbell, the former chief compliance officer of a New York-based investment adviser, faces up to 20 years in prison and a $250,000 fine after pleading guilty to wire fraud in federal court.
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American Financial Group promotes CCO to general counsel
American Financial Group announced the promotion of Chief Compliance Officer Mark Weiss to senior vice president and general counsel.
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National Bank of Coxsackie appoints chief compliance officer
The National Bank of Coxsackie announced the appointment of Sarah Hodgens as chief compliance officer.
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BetMGM appoints chief compliance officer
Sports betting and digital gaming entertainment company BetMGM announced Rhea Loney will join its executive team as chief compliance officer.
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First Farmers names chief compliance officer
First Farmers and Merchants Corp., the holding company for First Farmers and Merchants Bank, announced Darcy Wagner has been promoted to chief compliance officer and member of the administration team.
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Credit Suisse names new CCO, plans strategic overhaul
Credit Suisse announced sweeping changes to its strategy that includes selling off parts of its investment banking portfolio and shrinking its global headcount—an attempt to pivot from risky investment ventures and back toward its historic specialty of wealth management.