All Chief Compliance Officer articles – Page 36
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ArticleCFTC orders chief compliance officer to pay $150K for fraud
The CFTC has ordered a chief compliance officer to pay $150,000 for engaging in fraudulent acts and making false statements to a self-regulatory organization.
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American Riviera Bank names chief compliance and risk officer
American Riviera Bank has named Laurel Sykes as executive vice president, chief compliance and risk officer.
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Pangea Money Transfer appoints chief compliance officer
Pangea Money Transfer, a mobile-centric money-transfer platform, announced it has appointed Alex Levine as general counsel and chief compliance officer.
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Nasdaq has a new chief legal officer
Nasdaq has named John Zecca as executive vice president and chief legal officer, responsible for managing Nasdaq’s regulatory oversight, legal counsel, and compliance across the company’s global businesses.
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Gemini adds chief compliance officer
Cryptocurrency exchange Gemini Trust Company announced Noah Perlman has joined as its new chief compliance officer.
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Kadmon appoints general counsel, chief compliance officer
Kadmon Holdings announced the appointment of Gregory Moss as executive vice president, general counsel, and corporate secretary. Moss will also serve as chief compliance officer.
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FIFA chief compliance officer joins DLA Piper
Global law firm DLA Piper announced that Edward Hanover, former chief compliance officer at FIFA, will join the firm’s litigation practice as a partner in Northern California based in its Silicon Valley office.
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Still under probation, Carnival names chief ethics and compliance officer
Under probation for a history of environmental violations and ordered to restructure its compliance program, Carnival has appointed a new chief ethics and compliance officer as well as a vice president of corporate environmental compliance.
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Athena Capital appoints chief compliance officer
Athena Capital Advisors, a privately owned registered investment advisor, has appointed Beth Lehman as deputy general counsel and chief compliance officer.
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Chief compliance officer liability and the opioid epidemic
In a period of three months, two chief compliance officers have been charged for their individual roles in the opioid epidemic—a clear indication the Department of Justice continues to expand the scope of prosecutions to those who fail in their compliance responsibilities.
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Celsius Network names new chief compliance officer
Celsius Network, a London-based cryptocurrency platform, has appointed Jeremie Beaudry as chief compliance officer.
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BroadRiver appoints general counsel and chief compliance officer
BroadRiver Asset Management, with assets under management of $1.4 billion, has appointed Emma Dickson as general counsel and chief compliance officer.
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Broe Group names chief compliance officer
The Broe Group and its affiliates, a privately owned, real estate, transportation, energy, and investment firm, has named Doug Van Wyk general counsel and chief compliance officer.
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Intra-Cellular Therapies appoints chief compliance officer
Intra-Cellular Therapies, a biopharmaceutical company, has appointed Karen Sheehy as chief compliance officer.
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Health Insurance Innovations appoints chief compliance officer
Health Insurance Innovations, a cloud-based technology platform and distributor of health insurance and life insurance products, has appointed Domenick DiCicco as its chief compliance officer and counsel.
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Genstar Capital names chief compliance officer
Genstar Capital, a private equity firm, has appointed Carolyn Greenwalt as chief compliance officer.
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Amid investigation, Nordea names chief compliance officer
Scandinavia’s biggest banking group, Nordea, has appointed Helene Jepson as chief compliance officer and head of group compliance.
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Blog
Eiger BioPharmaceuticals names chief compliance officer
Eiger BioPharmaceuticals has appointed Stephana Patton as general counsel, corporate secretary, and chief compliance officer.
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Blog
Credit Suisse appoints new chief compliance officer, chief risk officer
The Credit Suisse Group has announced several changes to its executive board, with immediate effect, including a new chief compliance officer and new chief risk officer, as the bank reorganizes its compliance function.
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Blog
Cavco Industries appoints chief compliance officer
Cavco Industries, a designer and builder of systems-built structures, has appointed Mickey Dragash as executive vice president, general counsel, corporate secretary, and chief compliance officer, effective as of Feb. 6.