All Chief Compliance Officer articles – Page 15
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Blog
GreenLight Biosciences promotes deputy GC to general counsel, CCO
Biotechnology company GreenLight Biosciences announced the promotion of Deputy General Counsel Nina Thayer to general counsel and chief compliance officer.
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Therapy Brands appoints chief compliance officer
Healthcare technology company Therapy Brands announced the appointment of Amber Thomas as chief compliance officer.
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Virginia Tech appoints leaders of audit, risk, compliance
Virginia Tech announced the appointments of Suzanne Griffin as its first chief compliance officer and Sharon Kurek as vice president of audit, risk, and compliance and chief risk officer.
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News BriefEx-Binance CCO accused of aiding and abetting CFTC rule violations
The Commodity Futures Trading Commission charged Binance and its founder with operating an illegal digital assets exchange, while former Chief Compliance Officer Samuel Lim faces charges of aiding and abetting the alleged misconduct.
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Angeles Wealth Management appoints chief compliance officer
Angeles Wealth Management announced the appointment of Edward Lowndes as chief operating officer and chief compliance officer.
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News BriefDanske Bank to name audit exec new chief compliance officer
Danske Bank will appoint Chief Audit Executive Dorthe Tolborg to serve as its chief compliance officer after current CCO Satnam Lehal announced he would depart the bank in early 2024.
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Apollo units name successor chief compliance officer
Apollo Global Management announced the promotion of Ryan Del Giudice to chief compliance officer for certain of its subsidiaries.
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AutoCruitment appoints general counsel, chief compliance officer
AutoCruitment, a digital patient recruitment company serving clinical researchers, announced the appointment of Kathy Twiddy as general counsel and chief compliance officer.
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News BriefInvestment adviser fined $50K for compliance lapses following founder/CCO’s death
E. Magnus Oppenheim & Co. must pay $50,000 and hire an independent compliance consultant to settle Securities and Exchange Commission charges of failing to implement compliance policies and procedures following the death of its founder and CCO.
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PremiumExperts: Delaware court McDonald’s ruling lowers bar on officer liability
The fiduciary duty of oversight that historically has applied only to directors “applies equally to officers,” including CCOs, the Delaware Court of Chancery explicitly held in its ruling regarding former McDonald’s Chief People Officer David Fairhurst.
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Perdue Farms appoints chief compliance officer
Perdue Farms announced the appointment of Catherine Muldoon as chief compliance officer.
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New York Life promotes corporate compliance VP to CCO
New York Life announced the promotion of Senior Vice President of Corporate Compliance Sandi Tillotson to chief compliance officer.
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PremiumGoogle, Uber CCOs share approaches to data analytics
The chief compliance officers of Google and Uber offer insight into how their data analytics compliance programs have evolved amid enhanced scrutiny on use of technology from the Department of Justice.
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Kinetic Investment Management appoints chief compliance officer
Kinetic Investment Management announced the appointment of Dawn Rybak as chief compliance officer.
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Z Capital Group promotes CCO to general counsel
Z Capital Group announced the promotion of Chief Compliance Officer Erik Kreutzer to general counsel, chief compliance officer, and head of legal.
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ConvexityShares Trust appoints interim chief compliance officer
ConvexityShares Trust, an exchange-traded fund provider, announced the appointment of Joseph Ferraro as interim chief compliance officer, according to a public filing.
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News BriefEx-CCO gets three years in prison for wire fraud
A former chief compliance officer of an unnamed New York-based investment adviser was sentenced to three years in prison for defrauding clients and her employer.
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News BriefEricsson searching for CCO successor amid extended compliance monitorship
Ericsson announced the departure of Chief Compliance Officer Laurie Waddy as the Swedish telecommunications company braces for another year under an independent compliance monitorship.
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News BriefSEC cites CCO error in HITE Hedge short selling case
Investment advisory firm HITE Hedge Asset Management and its private fund clients agreed to pay more than $220,000 to settle allegations the firm violated a Securities and Exchange Commission rule concerning short selling.
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DLA Piper recruits CCO from Lidl US
Multinational law firm DLA Piper announced the appointment of Kristy Balsanek as partner in the firm’s regulatory and government affairs group.