All Chief Compliance Officer articles – Page 20
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Texas Capital Bancshares appoints chief compliance officer
Texas Capital Bancshares, the parent company of Texas Capital Bank, announced the appointment of Vivek Misra as executive vice president, chief compliance officer.
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Dibbs names chief compliance officer
Dibbs, a blockchain-enabled collectibles marketplace, announced the appointment of Bill Plumeri as chief compliance officer.
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RSA Insurance appoints international chief compliance officer
RSA Insurance announced the appointment of Peter Townsend as chief compliance officer for the company’s United Kingdom and international business.
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RE/MAX Holdings names general counsel, chief compliance officer
Real estate brokerage RE/MAX Holdings announced the appointment of Susie Winders as general counsel, chief compliance officer, and secretary.
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Blackstone names CCO for secured lending, private credit funds
Blackstone announced the appointment of William Renahan to chief compliance officer for its secured lending and private credit funds.
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TrainingRansomware Attack: A scenario-based immersive learning
Take this self-directed, interactive immersive study of a fictional cyber event based on real-life scenarios to deepen your understanding of the importance of crisis management planning and put you in the shoes of a compliance leader during a ransomware attack.
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TrainingOn-demand training: Everything you need to know about ESG but were afraid to ask
Take this self-directed, interactive course to deepen your understanding of the increasing importance of environmental, social, and corporate governance initiatives and how ESG planning processes can help manage risks and lead to better reporting outcomes.
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DermTech appoints chief compliance officer
Biotechnology research firm DermTech announced the appointment of Jennifer Eilemberg as chief compliance officer.
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IDIQ names chief compliance officer
IDIQ, an identity theft protection and credit reporting monitor, announced the appointment of Beth Cheeseman Kearney as general counsel and chief compliance officer.
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BHG Financial names chief compliance officer
BHG Financial announced the appointment of Matt Ondus as chief compliance officer.
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Freddie Mac names chief compliance officer
Freddie Mac announced the appointment of Dennis Hermonstyne Jr. as senior vice president and chief compliance officer, effective Sept. 19.
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Validus Capital appoints chief compliance officer
Investment advisory firm Validus Capital announced the appointment of Sean Chen as chief operating officer, chief compliance officer, and managing partner.
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Zeta adds chief compliance officer
Fintech startup Zeta announced the appointment of Karla Booe as chief compliance officer.
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ArticleSEC’s Peirce weighs CCO enforcement case against liability framework
What would it look like if the SEC adopted a chief compliance officer liability framework? Commissioner Hester Peirce offered a preview in a statement regarding an enforcement action against the CCO of a formerly registered investment adviser.
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ArticleCCO skepticism toward DOJ compliance certifications justified
Chief compliance officer concerns regarding the Department of Justice’s new certification policy have not been alleviated by the agency’s inconsistent communication regarding the requirement.
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BitPay hires new chief compliance officer
Cryptocurrency platform BitPay has hired Allison Raley as chief compliance officer and general counsel.
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OneSpan adds chief compliance officer
Cybersecurity software provider OneSpan announced the addition of Lara Mataac as general counsel and chief compliance officer.
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ArticleSEC charges investment adviser, CCO with selling fraudulent securities
A.G. Morgan Financial Advisors, its owner, and its former chief compliance officer were charged by the SEC with securities laws violations for unlawfully offering and selling more than $500,000 worth of unregistered, fraudulent securities.
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WellBe Senior Medical appoints chief compliance officer
WellBe Senior Medical announced the appointment of Joshua Aubey as chief compliance officer.
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ArticleDOJ recruits Hewlett Packard Enterprise CECO to lead Fraud Section
The Justice Department’s Criminal Division added another chief compliance officer to its ranks with the appointment of Glenn Leon to serve as chief of the Fraud Section.