All Chief Compliance Officer articles – Page 47
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Blog
SNC-Lavalin Names New Head of Legal and Compliance
SNC-Lavalin has appointed Hartland Paterson as general counsel, effective Sept. 10. He will report to President and CEO Robert Card. Paterson will oversee both the legal and ethics and compliance functions of the engineering and construction giant. More inside.
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Aviall Names Vice President of Compliance
Aviall, a wholly owned subsidiary of The Boeing Company, recently named Kim Stollar as general counsel and vice president of compliance. More inside.
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Blog
Former Cigna Chief Compliance Officer Joins Voya Financial
Voya Financial announced this week that it has appointed Trish Walsh as chief legal officer, effective Sept. 14. In this role, Walsh will oversee all aspects of Voya's law, compliance and external affairs department, serving as an advisor to senior management and the board of directors on legal, compliance, securities ...
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St. Joseph's Healthcare System Names Chief Compliance Officer
St. Joseph’s Healthcare System has appointed Theodore Brown as chief compliance officer. In this role, Brown leads the corporate compliance department and is responsible for assessing organizational risk for misconduct and noncompliance, establishing objectives for compliance, and implementing initiatives to foster a culture of compliance throughout the organization. Details inside.
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Article
CCOs Playing a Stronger Role in Data Privacy Practices
Image: As data privacy laws proliferate, they are creating a web that traps how corporations use personal data in their operations. The challenge for compliance officers: how to play a more strategic role and ensure your business doesn’t get stuck. “The inclusion of the CCO function in defining controls related ...
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Rotation Capital Names Chief Compliance Officer
Rotation Capital, an SEC-registered alternative asset management firm, has appointed Marshall Terry as chief compliance officer. Terry also has been appointed a managing director and chief operating officer. Details inside.
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DASH Financial Appoints Chief Compliance Officer
DASH Financial, an institutional agency broker-dealer, has appointed Erin Preston as chief compliance officer. Preston will be responsible for DASH's compliance strategy and will be a key stakeholder in the execution of the firm's business strategy as in--house counsel. Details inside.
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Eastern Bank Taps Former CFPB Deputy Director as CCO
Eastern Bank, a full-service commercial bank headquartered in Boston, announced this week that it has appointed Steven Antonakes as chief compliance officer. Antonakes most recently served as Deputy Director and the Associate Director for Supervision, Enforcement, and Fair Lending at the Consumer Financial Protection Bureau. Details inside.
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Blog
VNA Homecare Appoints Corporate Compliance Officer
VNA Homecare has appointed Dawn Richey as corporate compliance officer. She previously served as manager of Emergency Preparedness at Crouse Hospital. Details inside.
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Blog
IFAM Capital Names John Lauer CCO, COO
IFAM Capital, a wealth management firm, has announced the appointment of John Lauer has been as its new chief operating officer and chief compliance officer.
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ACADIA Pharmaceuticals Names New CCO
ACADIA Pharmaceuticals, a biopharmaceutical company based in San Diego, has named Ryan Brown as a vice president and chief compliance officer. Brown will be responsible for developing, implementing, and managing the company’s corporate compliance program to support the planned commercialization of a treatment for psychosis associated with Parkinson’s disease.
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Blog
Stephen Van Meter is New CCO for Federated Investors
Federated Investors has appointed Stephen Van Meter as chief compliance officer, effective July 30. Van Meter, also appointed chief compliance officer of the Federated family of funds, replaces retiring CCO Brian Bouda.
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Blog
National Planning Corporation Names CCO
National Planning Corporation, an independent broker-dealers, has announced the appointment of Patricia McCallop as chief compliance officer. She will be responsible for leading NPC’s compliance team and overseeing the company’s adherence to state and federal regulations. Details inside.
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Blog
HomeBancorp Names Chief Risk and Compliance Officer
HomeBancorp, a financial institution, recently promoted Jon James as chief risk and compliance officer. He formerly was BSA and retail compliance officer. Details inside.
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Blog
Primary Residential Mortgage Names Chief Compliance Officer
Primary Residential Mortgage, a residential mortgage lender, has named Burton Embry as chief compliance officer. In this capacity, he is responsible for the company’s risk, regulatory, and compliance management programs. Details inside.
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Blog
White: SEC Enforcement Not Targeting Compliance Professionals
Image: The message from SEC Chairman Mary Jo White to compliance officers: They are not the target of enforcement efforts. Speaking to 1,000 compliance officers from financial services firms and broker-dealers at a Commission-sponsored forum, White said, “We do not bring cases based on second guessing compliance officers’ good faith ...
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Blog
Excel Investment Counsel Names Chief Compliance Officer
Excel Funds Management has promoted Christine Tan to senior portfolio manager and chief compliance officer at Excel Investment Counsel, a subsidiary of Excel Funds. Details inside.
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Blog
Bankers Need to Clean Up Their Act, Allianz Exec Says
Image: Elizabeth Corley, global chief of Allianz Global Investors, warns that there can be serious consequences to the economy if bankers continue to engage in reckless misconduct. Corley says rogue bankers often see wrongdoing as a minor rather than a serious offence, which can lead to bigger problems for financial ...
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Blog
SEC Rebukes Investment Advisory Firm for Ignoring CCO Pleas
A bit of good news amid the discussion of personal liability for chief compliance officers: The SEC has delivered a one-year suspension to an investment advisory firm’s former president on the grounds that he consistently ignored the chief compliance officer’s request for resources, which led to the firm’s compliance failures. ...
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Blog
SEC Charges CCO of SFX With Compliance Failures
The Securities and Exchange Commission last week brought fraud charges against the former president of SFX Financial Advisory Management Enterprises for stealing client funds. The firm and its chief compliance officer separately agreed to settle charges that they were responsible for related compliance failures and other violations. Details inside.