All Finance articles – Page 25
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Blog
Lincoln Peak Capital adds chief compliance officer
Investment firm Lincoln Peak Capital announced Austin McClintock joined as chief compliance officer.
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News BriefFinCEN analysis: Most common identity-related suspicious activities
Fraud remains the leading form of identity-related suspicious activity cited in Bank Secrecy Act reports by a large margin, while technologies enable greater overall risks around exploitation, according to new research from the Financial Crimes Enforcement Network.
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Cresta appoints general counsel, chief compliance officer
Private equity firm Cresta Fund Management announced the promotion of Julie Westbrook to general counsel and chief compliance officer.
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State Street adds general counsel from Barclays
Financial services provider State Street Corp. announced it appointed Mark Shelton to executive vice president and general counsel.
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IFX Payments announces chief compliance officer
U.K.-based financial technology company IFX Payments announced Sara Cass is joining the business as its new chief compliance officer.
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News BriefFINRA report: Exam trends on off-channel comms, crypto, cybersecurity
A new report from the Financial Industry Regulatory Authority provides observations from examiners on emerging issues affecting the industry, including surveilling potential use of off-channel communications by employees, crypto-asset developments, cybersecurity trends, and more.
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ATP appoints chief risk officer
Denmark-based pension processor ATP appointed Jacob Lester as its new chief risk officer.
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Vista Equity Partners promotes legal, compliance chiefs to senior managing director
Investment firm Vista Equity Partners announced the promotions of Chief Compliance Officer Gwen Reinke and Chief Legal Officer Alan Schwartz to senior managing director.
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Chime adds chief compliance officer
Financial technology company Chime welcomed Shara Chang as chief compliance officer.
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News BriefLPL Financial fined $5.5M by FINRA over transaction supervision lapses
Independent broker-dealer LPL Financial agreed to pay more than $6 million as part of a settlement with the Financial Industry Regulatory Authority addressing alleged supervision failures regarding direct business transactions and the suitability of switch transactions.
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News BriefInteractive Brokers fined $3.5M in FINRA action
Electronic trading platform Interactive Brokers received a $3.5 million penalty from the Financial Industry Regulatory Authority for multiple alleged violations of the self-regulatory organization’s rules regarding execution and supervision.
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News BriefOEP Capital Advisors fined $4M over policy failures
OEP Capital Advisors agreed to pay a $4 million penalty as part of a settlement with the Securities and Exchange Commission addressing alleged deficiencies regarding the prevention of misuse of material nonpublic information.
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PremiumQ&A: Wolters Kluwer EVP on using AI to ease data analysis
Sandeep Sacheti, executive vice president for customer information management and operational excellence at Wolters Kluwer, shares with Compliance Week how the company’s financial and corporate compliance division uses artificial intelligence to manage and analyze data.
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KSL promotes general counsel to partner
KSL Capital Partners, an investor in travel and leisure businesses, announced the promotion of General Counsel Kevin Rohnstock to partner.
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Truist appoints chief legal officer
Truist Financial Corp. announced Scott Stengel will join the company as senior executive vice president and chief legal officer.
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Venerable Investment Advisers tabs general counsel
Venerable Holdings announced the addition of Kristina Magolis, who will serve as general counsel of Venerable Investment Advisers, its new wholly owned subsidiary.
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Flutterwave announces head of compliance, first risk chief
Payments technology company Flutterwave announced the appointment of Amaresh Mohan as its first chief risk officer and Amanda Ortega as head of compliance, United States.
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PremiumMoney, size, industry: Multiple factors at play in setting compliance reporting lines
Compliance teams most often report to their firm’s legal department, our “Inside the Mind of the CCO” survey found. However, heavily regulated companies and those with fewer employees saw different trends emerge.
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News BriefFreepoint Commodities to pay $99M in Brazil bribery FCPA case
Freepoint Commodities agreed to pay nearly $99 million to settle allegations by the Department of Justice that it paid bribes to Brazilian government officials in return for business from state-owned oil company Petrobras.
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News BriefSEC adopts rule to ease clearing of Treasury transactions
The Securities and Exchange Commission adopted a rule change aimed at reducing the threat of systemic risk to U.S. Treasury securities by facilitating additional central clearing in the market.