All Chief Compliance Officer articles – Page 17
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Blog
CCO of Apollo units to depart
MidCap Financial Investment Corp. and Apollo Debt Solutions BDC will be searching for new compliance leadership following the resignation of Chief Compliance Officer Isabelle Gold.
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Blog
Restore Hyper Wellness names chief compliance officer
Restore Hyper Wellness announced the appointment of Emma Nasif as chief compliance officer.
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Blog
Kraken appoints chief compliance officer
Cryptocurrency platform Kraken announced the appointment of CJ Rinaldi as chief compliance officer.
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Blog
Marygold Companies tasks CCO with leading fintech subsidiary
Global holding firm The Marygold Companies announced the appointment of Timothy Rooney to head the company’s financial technology startup, Marygold & Co.
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Blog
Alpine Investors appoints general counsel, CCO
Alpine Investors announced the appointment of Alexandria Stuart as general counsel and chief compliance officer.
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News BriefCFTC commissioner urges crypto gatekeepers ‘step up and call for compliance’
Christy Goldsmith Romero of the Commodity Futures Trading Commission called out gatekeepers—lawyers, accountants, auditors, compliance professionals, and others—for failing customers in the unregulated cryptocurrency market.
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Blog
Fitch Ratings CCO promoted to general counsel
Fitch Group, a provider of financial information services, announced the appointment of Bruce Legorburu as general counsel. Heather Merrigan replaces Legorburu as chief compliance officer for Fitch Ratings.
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Blog
First Financial Bank appoints chief compliance officer
The board of directors at First Financial Bank, a wholly owned subsidiary of First Financial Bankshares, elected Mike Parker as executive vice president and chief compliance officer.
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Blog
Cantaloupe adds chief legal and compliance officer
Cantaloupe, a digital payments and software services company, announced Anna Novoseletsky was appointed chief legal and compliance officer and general counsel, corporate secretary.
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News BriefDeutsche Bank refreshes compliance leadership with new group CCO
Deutsche Bank named Laura Padovani to be its next group chief compliance officer and head of compliance, effective April 1. She will replace Pascal Tagné, who will become the bank’s head of compliance for the Asia Pacific region.
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News BriefDanske Bank CCO to depart in 2024
Satnam Lehal, chief compliance officer of Danske Bank, announced he will leave the bank in early 2024 after playing a pivotal role in helping steer it through the aftermath of one of the world’s largest money laundering scandals.
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Blog
BWX Technologies announces CCO succession
BWX Technologies, a supplier of nuclear components and fuel to the U.S. government, announced the promotion of Ronald (Chip) Whitford Jr. to the position of senior vice president, general counsel, chief compliance officer, and corporate secretary.
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Blog
Stewart Information Services appoints compliance, legal heads
Real estate services company Stewart Information Services Corp. announced the appointments of Mary Thomas as chief compliance and regulatory officer and Elizabeth Giddens as chief legal officer and corporate secretary.
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ArticleCHS 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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ArticleBNP 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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Article
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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Article
Cureatr adds chief compliance officer
Medication management platform Cureatr announced the hiring of Tracy Tracy as chief compliance officer.
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PremiumDoes 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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PremiumCCO/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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Article
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.