All Chief Compliance Officer articles – Page 31
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ArticleEmbattled BitMEX hires chief compliance officer
On the heels of a CFTC enforcement action, cryptocurrency exchange platform BitMEX announced the appointment of Malcolm Wright as chief compliance officer of its operating company 100x Group.
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Gemini adds APAC compliance chief
Gemini Trust Company, a cryptocurrency exchange and custodian, announced the appointment of Andy Meehan as chief compliance officer of the Asia-Pacific region.
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PremiumEnjoy ‘Compliance Officer Day’—you’ve earned it
In a 2020 full of Blursdays that all run together, it’s perhaps appropriate that the day created in your honor this year happens to fall when you don’t have to be in the office (otherwise known as your bedroom/kitchen table).
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ArticleVisa appoints new chief compliance officer
Payment services giant Visa this month appointed Obiamaka Madubuko as its new chief compliance officer.
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ArticleSoftBank adds group compliance officer as CCO departs
SoftBank Group announced the appointment of Tim Mackey as group compliance officer of SoftBank. Earlier this month, Chief Compliance Officer Chad Fentress departed the company to start his own consultancy.
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ArticleSEC charges chief compliance officer in stock fraud scheme
A New Jersey-based asset management firm and its president and chief compliance officer are facing SEC charges for “cherry-picking” profitable stocks for new and favored accounts that diminished returns for other clients.
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Citigroup appoints chief compliance officer for Institutional Clients Group
Citigroup announced it has appointed Jennifer Taylor as chief compliance officer for its Institutional Clients Group, effective Dec. 7.
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Article10 reasons why you should be a compliance officer
Jonathan Bowdler of the International Compliance Association shares his list of factors that make compliance an appealing profession today.
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Citi appoints CCO for Australia, New Zealand
Citi Australia announced the appointment of Sarah Stewart as managing director and chief country compliance officer for Australia and New Zealand.
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Cordant Health names chief compliance officer
Medical technology company Cordant Health Solutions announced the appointment of Regina Morano as chief regulatory and compliance officer.
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Collaborative Imaging appoints chief compliance officer
Collaborative Imaging, a radiologist-owned alliance with more than 500 radiologists, has appointed David Silva as chief compliance officer.
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ArticleSEC bars CCO associated with alleged trading scheme
The Securities and Exchange Commission has permanently barred the former chief compliance officer of a once-registered brokerage firm for her role in an alleged fraudulent unauthorized trading scheme.
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Seniorlink names chief compliance, privacy officer
Tech-enabled health services firm Seniorlink announced the appointment of Amy McConnell as chief compliance and privacy officer.
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Bioventus tabs chief compliance officer
Orthobiologic solutions provider Bioventus appointed Katrina Church as chief compliance officer.
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ArticleWells Fargo CCO Roemer to depart amid new risk hirings
Wells Fargo announced Chief Compliance Officer Mike Roemer will depart two years after taking on the daunting task of transforming the troubled bank’s compliance and risk management efforts. Paula Dominick will succeed him as CCO.
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ArticleNRA shot itself in foot with poor compliance commitment
The New York Attorney General’s lawsuit to dissolve the National Rifle Association might not play out as intended, but it nevertheless exposes a number of systemic compliance flaws at the organization that appear to still need to be addressed.
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ArticleCanadian market regulator floats flexible firm CCO models
The Canadian Securities Administrators has published guidance that effectively gives registered firms in Canada more flexibility in satisfying chief compliance officer staffing requirements through three optional models.
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ArticleCredit Suisse combines risk and compliance, adds sustainable investing unit
Credit Suisse has combined separate risk and compliance heads into one board-level position, part of a shakeup of the bank’s corporate structure that includes a renewed emphasis on sustainable investing.
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Harbour Trust names chief compliance officer
Harbour Trust & Investment Management Company has appointed Martha Wargo Oprea to the role of vice president and chief compliance officer.
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Aegis Capital hires two compliance officers
Aegis Capital, a wealth management, financial services, and investment banking firm, announced the hiring of two veteran compliance officers with over 40 years of combined experience in compliance.