All Compliance Officer articles
-
Article
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.
-
ArticleCCO salary benchmark reports
A newly released benchmark report from BarkerGilmore shows compliance annual salary trends by industry, education, and more.
-
Article
UBS compliance officer convicted of insider trading
A London Southwark Crown Court jury on June 27 convicted two individuals—a senior compliance officer of UBS and a day trader of financial securities—and sentenced them to three years’ imprisonment for insider trading.
-
Blog post
Fiat Chrysler Automobiles names compliance officer
Fiat Chrysler Automobiles recently announced several key changes to its leadership team, effective immediately, including the appointment of a new compliance officer.
-
Blog post
Argent Trust names chief compliance officer
Argent Trust Company has named Deanna Rankin chief compliance officer.
-
Blog post
Sharecare appoints compliance officer
Sharecare, a digital health company, has named Ami Patel as chief legal and compliance officer. Patel is responsible for the legal affairs of the entire company globally.
-
Blog post
Financial Conduct Authority fines compliance officer for pension transfer failings
The U.K. Financial Conduct Authority fined a compliance oversight officer £75,000 for failing to exercise due skill, care, and diligence concerning pension transfer failings.
-
Blog post
Admiral Markets names compliance officer
Admiral Markets UK has appointed Simon Roberts as the its new general manager, and Stephen Ayme has been added to the management board team and will be leading the compliance department.
-
Blog post
Irish Data Regulator Probes Facebook’s European Privacy Practices
Image: The investigation by Ireland’s Data Protection Commissioner Helen Dixon into Austrian law student Max Schrems’ privacy complaint will continue in light of the recent decision by the European Court of Justice to invalidate the Safe Harbor program for international data transfers between the United States and the European Union. ...
-
Blog post
U.K. FCA: Senior Managers To Be ‘Whistleblower Champions’
Image: The U.K. Financial Conduct Authority is calling on senior managers to serve as “Whistleblower Champions” and to play a lead role in protecting employees who come forward with critical information about misconduct. The rules are part of the Senior Managers Regime, which is slated to go into effect ...
