All Finance articles – Page 14
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Blog
ClearSign Technologies appoints 1102 Partners CCO to board
ClearSign Technologies Corp., a developer of emission-control technology, announced David Maley, chief investment officer and chief compliance officer of family office 1102 Partners, was appointed to its board of directors.
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Blog
P10 names general counsel
P10, a private markets investment solutions provider, announced the appointment of Melodie Craft as general counsel.
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News BriefPayPal off hook in CFPB probe into Venmo fund transfers
Digital wallet company PayPal disclosed it won’t face enforcement regarding a Consumer Financial Protection Bureau probe into its subsidiary Venmo.
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Blog
SageSpring Wealth Partners names chief compliance officer
Investment adviser SageSpring Wealth Partners named Brad Clayton as its new chief compliance officer.
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PremiumWhat’s the problem for GDPR repeat offenders?
The General Data Protection Regulation has been in force for nearly six years. Some industries—and some companies—have been more prone to fall foul of the rules than others.
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PremiumPreparation key for ‘tectonic change’ from FTC noncompete ban
Companies would be wise to prepare to comply with the Federal Trade Commission’s rule to ban noncompete clauses, despite legal challenges that might delay or prevent it taking effect altogether.
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PremiumCCO liability: How to protect your compliance career
Despite significant issues outside the control of most chief compliance officers, some regulators have signaled more individual liability cases are to be expected. Will accepting the wrong job, in hindsight, make it your last?
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News BriefRBC unit fined by FINRA over trade confirmation violations
RBC Capital Markets agreed to pay nearly $769,000 to settle allegations levied by the Financial Industry Regulatory Authority, in part, over sending inaccurate information in trade confirmations to customers over nearly a decade.
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News BriefFINRA fines TD Ameritrade $600K over automated approval failures
Online brokerage services provider TD Ameritrade agreed to pay a $600,000 fine for violations of Financial Industry Regulatory Authority rules over its automated approval system that allegedly allowed inexperienced traders to engage in options trading.
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PremiumU.K. regs up pressure on debt collection practices
Debt collection has become a hot topic as U.K. regulators pile pressure on utilities and financial services companies to improve how they treat customers in arrears.
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PremiumWirecard whistleblower laments EU speak-up protection inconsistencies
The European Union’s strong stance on whistleblower protection has been undermined by member states’ wildly different approaches to punishing organizations that fail to safeguard people who raise concerns, says Wirecard whistleblower Pav Gill.
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Blog
Geneva Financial welcomes chief compliance officer
Geneva Financial announced Jessie Ermel joined its leadership team as chief compliance officer.
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Blog
Galway Sustainable Capital adds general counsel
Specialty finance company Galway Sustainable Capital announced the appointment of Kara Parmelee as general counsel.
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Blog
Broadridge names chief legal officer
Financial technology company Broadridge Financial Solutions announced the appointment of Hope Jarkowski as chief legal officer.
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Blog
HKEX appoints group chief compliance officer
Hong Kong Exchanges and Clearing Limited announced the appointment of Lilian Cheng as group chief compliance officer.
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PremiumFCA exploring how Big Tech data can aid financial services
The U.K. Financial Conduct Authority reemphasized its desire to work with Big Tech firms to examine how their data might be useful to the financial industry.
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Blog
Amundi announces chief compliance officer
French asset management firm Amundi announced the appointment of Marc Noel as chief compliance officer.
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News BriefFCA publishes guidance on anti-greenwashing rule
The U.K. Financial Conduct Authority issued new guidance on how to comply with its upcoming anti-greenwashing rule, which is set to take effect May 31.
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News Brief
SEC risk alert warns investment advisers of marketing rule missteps
Examiners with the Securities and Exchange Commission found investment advisory firms have generally done well creating processes to comply with the agency’s amended marketing rule but some have fallen short in ensuring compliance.
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Blog
Moors and Cabot announces chief compliance officer
Investment wealth advisory firm Moors and Cabot announced the promotion of Katherine Kelliher to senior vice president, chief compliance officer.