All Finance articles – Page 39
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Blog
Quantum Energy Partners names chief compliance officer
Quantum Energy Partners, a financial services firm serving the energy industry, announced the appointment of Sharmin Beacco as chief compliance officer.
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News BriefAmigo Loans dodges $89M fine over IT system lending lapses
Amigo Loans faced a penalty of £72.9 million (U.S. $88.7 million) after the U.K. Financial Conduct Authority found it used automated decision-making to drive sales over ensuring whether customers posed credit risks.
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LendKey promotes general counsel to chief legal officer
LendKey, an online student loan marketplace, announced the promotion of David Mark to chief legal officer and head of regulatory compliance.
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Blog
POSaBIT appoints chief compliance officer
POSaBIT Systems Corp., a financial technology company serving the cannabis industry, announced the appointment of Sarah Mirsky-Terranova as chief compliance officer.
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News Brief
SEC exam report highlights Marketing Rule, Reg BI, private fund advisers
The Securities and Exchange Commission’s 2023 examination priorities report laid out areas under the microscope this year, including compliance with the agency’s Marketing Rule and Regulation Best Interest.
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News BriefTreasury report flags benefits, drawbacks to use of cloud services
The Treasury Department issued a report regarding the benefits and challenges associated with the use of cloud service providers by financial sector firms, finding shortcomings related to transparency, staff support, and cybersecurity incident response.
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Store Capital adds compliance to general counsel’s title upon merger
With real estate investment trust Store Capital being acquired by GIC and Oak Street, Store announced General Counsel Chad Freed will be adding chief compliance officer to his duties.
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Libra Group names first chief risk, compliance officer
Libra Group, an international conglomerate, announced the appointment of Richard Blaksley as its first chief risk and compliance officer.
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OceanFirst Financial promotes principal accounting officer to CCO
OceanFirst Financial Corp. disclosed the appointment of Angela Ho as chief compliance officer for the company and OceanFirst Bank.
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OpinionAllianz case questions if DOJ encouraging scapegoating in individual liability push
Is the Department of Justice’s focus on individual accountability in white-collar crime cases encouraging companies to scapegoat their employees? A recent court filing in a $6 billion corporate fraud case could give company officers some sleepless nights.
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PremiumStudy: Healthcare overtakes finance as most breached industry in 2022
Healthcare organizations were under attack more than ever by cybercriminals in 2022, overtaking finance as the most breached industry, according to the latest analysis from Kroll.
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News BriefSEC examiners flag deficiencies in Reg BI compliance
The Securities and Exchange Commission issued a risk alert listing deficiencies its examiners found in broker-dealers’ compliance with Regulation Best Interest.
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Wellings Capital unit appoints chief compliance officer
Wellings Real Estate Income Fund announced the appointment of Adrienne Hart as chief compliance officer.
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Kain Capital names chief compliance officer
Private equity firm Kain Capital announced the appointment of Bret Cummings as chief financial officer and chief compliance officer.
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News BriefSEC seeks to revive Dodd-Frank rule on conflicts in securities trading
The Securities and Exchange Commission resurrected an unfulfilled mandate of the Dodd-Frank Act that would prevent the sale of certain securities if there is a conflict of interest.
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CCO of Apollo units to depart
MidCap Financial Investment Corp. and Apollo Debt Solutions BDC will be searching for new compliance leadership following the resignation of Chief Compliance Officer Isabelle Gold.
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Blog
FINRA enforcement head to depart, acting successor announced
The Financial Industry Regulatory Authority announced longtime Head of Enforcement Jessica Hopper will depart Feb. 3.
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Blog
Marygold Companies tasks CCO with leading fintech subsidiary
Global holding firm The Marygold Companies announced the appointment of Timothy Rooney to head the company’s financial technology startup, Marygold & Co.
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Blog
Alpine Investors appoints general counsel, CCO
Alpine Investors announced the appointment of Alexandria Stuart as general counsel and chief compliance officer.
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News BriefBloomberg to pay $5M for misleading disclosures about rate calculations
Bloomberg Finance agreed to pay $5 million to settle Securities and Exchange Commission charges alleging misleading disclosures it made about how it calculated the valuations it provided on fixed-income securities to the financial services industry.