By CW Staff2017-01-26T12:45:00
The Depository Trust & Clearing Corporation, a post-trade market infrastructure for the global financial services industry, has appointed Derek West as executive director and chief compliance officer for the firm’s European Global Trade Repository (GTR) business.
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2017-02-01T17:15:00Z By CW Staff
The Depository Trust & Clearing Corporation, a post-trade market infrastructure for the global financial services industry, has appointed Ann Shuman as general counsel, effective Feb. 1. She assumes the role from Larry Thompson, who is stepping down to serve full-time as vice chairman of DTCC.
2026-01-19T15:21:00Z By Aaron Nicodemus
Nominations for the 2026 Excellence in Compliance Awards are no longer being accepted. Look for finalists to be announced later in March!
2025-03-19T11:53:00Z By Adrianne Appel
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
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