All Chief Compliance Officer articles – Page 30
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Cerberus Sentinel appoints chief compliance officer
Cyber-security consulting firm Cerberus Cyber Sentinel Corporation announced Baan Alsinawi has been named chief compliance officer.
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RPM, chief compliance officer to pay $2M for accounting violations
RPM International and its general counsel and chief compliance officer have agreed to a $2 million settlement with the SEC for accounting and disclosure rules violations relating to a prior DOJ investigation.
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ArticleCCO allegedly ignored in Ripple cryptocurrency lawsuit
The chief compliance officer at Ripple Labs allegedly warned company leaders on multiple occasions that its marketing of its cryptocurrency offering, XRP, could lead the SEC to classify it as a security—the focal point of a lawsuit filed Tuesday.
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ArticleHow compliance officers can apply COSO’s ERM Framework in practice
Representatives from the Committee of Sponsoring Organizations of the Treadway Commission and its partners explain how to implement the organization’s latest guidance on identifying, monitoring, and mitigating compliance risks.
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PremiumAsk a CCO: How to meet data analytics expectations of both board and regulators
Six senior compliance practitioners share some big-picture thoughts on how their companies are using data within the context of regulators’ increased expectations in the area.
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ArticleFive challenges for European CCOs heading into 2021
Many of the problems European compliance officers faced in 2020 will remain in place going into the new year, but new risks and new regulations will also present new challenges.
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International Money Express adds CCO, general counsel
International Money Express, a money remittance services company, announced the appointment of Ernesto Luciano as the company’s new general counsel and chief compliance officer.
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PremiumHow will Biden administration impact compliance
Six senior compliance practitioners reflect on how they anticipate the Joe Biden presidency, and the expected regulatory changes coming with it, will impact the compliance function.
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PremiumAsk a CCO: Compliance leaders share pandemic lessons learned
Six senior compliance practitioners divulge how they fared in 2020, from wrestling with new risks amid the pandemic to the most valuable lessons learned during a year rife with crisis.
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Stratus appoints chief compliance officer
Stratus, a provider of in-home neurodiagnostic testing services, announced the appointment of David Hruda as chief compliance officer.
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ArticleMSRB shakeup transitions CCO to chief regulatory officer
Senior leadership changes at the Municipal Securities Rulemaking Board under new CEO Mark Kim include the transition of the organization’s chief compliance officer to the role of chief regulatory officer.
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ArticleApple’s chief security officer (and former CCO) accused of bribery
Apple Chief Security Officer Thomas Moyer, who served as the company’s chief compliance officer for nearly a decade, is facing accusations that he offered bribes in the form of iPads to California state officials in exchange for concealed firearms licenses.
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Conversion Labs names chief compliance officer, general counsel
Conversion Labs, a direct-to-consumer telemedicine and wellness company, has appointed Eric Yecies to the new position of chief compliance officer and general counsel.
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ArticleCOSO report: Elevating compliance leads to more informed decision-making
Many compliance departments are not independent, but instead report to other departments. COSO recommends compliance be separated out into its own division, led by a chief compliance officer with an executive-level position.
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Poly appoints chief legal and compliance officer
Poly, a communications device manufacturer, announced the appointment of Lisa Bodensteiner as executive vice president, chief legal and compliance officer.
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ArticleCCO Philippe Vollot has a plan for Danske’s compliance reboot
Danske Bank CCO Philippe Vollot knows his journey to build a robust compliance program and culture at the troubled lender is far from over.
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Rockefeller Capital adds former Morgan Stanley CCO as general counsel
Financial services firm Rockefeller Capital Management announced the appointment of former Morgan Stanley Global Chief Compliance Officer William Fenrich as general counsel.
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Hormel Foods appoints chief compliance officer
Hormel Foods Corp. announced the appointment of Pierre Lilly as senior vice president and chief compliance officer for the company’s worldwide operations.
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Allianz insurance arm tabs NA chief compliance officer
Allianz Global Corporate & Specialty, a global corporate insurance carrier that is part of the Allianz Group, announced the appointment of Adam Hamm as chief compliance officer for North America.
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ArticleSEC Commissioner Hester Peirce mulling CCO liability framework
SEC Commissioner Hester Peirce revealed in a recent speech that she is considering developing a draft framework that would aim to clarify when the Commission may seek personal liability in compliance cases.