All Finance articles – Page 64
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Wedbush welcomes chief compliance officer
Financial services and investment firm Wedbush Securities announced the appointment of Michael McMaster as senior vice president and chief compliance officer.
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Athene adds chief risk officer
Retirement services company Athene Holding announced Doug Niemann has been appointed executive vice president and chief risk officer.
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Kickstarter adds general counsel from Uber
Crowdfunding platform Kickstarter has appointed Nicole Benincasa as general counsel. Benincasa spent seven years at Uber, serving as senior counsel, global safety since September 2019.
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Menlo Ventures welcomes general counsel
Silicon Valley venture capital firm Menlo Ventures announced the appointment of Deborah Carrillo as general counsel.
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Robinhood appoints new legal chief
Popular investment app Robinhood announced Dan Gallagher will join the company as chief legal officer.
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ArticleWorld Acceptance sets aside $22M to resolve SEC FCPA probe
World Acceptance Corporation announced it has recorded an aggregate accrual of $21.7 million to resolve an SEC investigation into alleged violations of the Foreign Corrupt Practices Act.
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ArticleEverest Capital settles SEC charges for risk management failures
The Securities and Exchange Commission settled charges against investment adviser Everest Capital and its sole principal for risk management failures stemming from a bad currency bet on the Swiss franc.
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Harvest Partners hires CCO, general counsel
Harvest Partners, a New York-based private equity investment firm, announced the addition of Jamie Toothman as general counsel and chief compliance officer.
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Ant Financial tabs new general counsel
Ant Financial Services Group, an affiliate company of Alibaba Group, announced Jonathan Zhou will soon join the company as general counsel.
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ArticleEx-exec charged, but Goldman Sachs avoids FCPA liability for due diligence efforts
The SEC announced charges against a former Goldman Sachs exec for violating the anti-bribery provisions of the FCPA, but the firm was not charged in the case because of the due diligence measures it took.
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ArticlePandemic, government money create perfect storm for financial fraud
A global pandemic, an unprecedented flow of government money, and a weakening of lending controls could create a perfect storm of opportunity for fraudsters.
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ArticleFinCEN, OCC offer BSA compliance relief amid pandemic
Two federal agencies that oversee Bank Secrecy Act requirements have notified financial institutions they will agree to “reasonable delays” in the filing of required reports if institutions can show the delays are necessary due to the coronavirus pandemic.
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ArticleStudy: Europe blows U.S. away in financial crime spending
A new report found financial institutions spent $181 billion on financial crime compliance worldwide last year, with European firms spending three to four times more than their counterparts in North America.
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ArticleSEC charges chief compliance officer in trading scheme
The SEC has filed a complaint against four individuals, including a former chief compliance officer, for conducting a fraudulent unauthorized trading scheme through retail customer accounts at their Commission-registered brokerage firm.
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Jefferies Group CFO dead from coronavirus complications
Jefferies Group announced the death of longtime Chief Financial Officer Peregrine “Peg” Broadbent from coronavirus complications.
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ArticleCECL delayed amid U.S. government’s coronavirus response
FASB’s controversial standard on credit losses was dealt two significant blows Friday as the U.S. government scrambles to respond to the financial impact of the escalating coronavirus pandemic.
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Grayhawk Investment adds chief risk officer
Wealth management firm Grayhawk Investment Strategies announced the appointment of Stacy Rosen as chief risk officer.
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ArticleStudy: Fear of data breaches stifling bank innovation
Research by consultancy firm Accenture shows companies in financial services are more concerned with guarding themselves against the impact of a data breach than realizing any financial benefits of using the data.
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AIG chief accounting officer to leave
American International Group said in a regulatory filing that Jonathan Wismer, its deputy chief financial officer and chief accounting officer, will be leaving the insurance company on March 31 “to pursue other opportunities.”
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PwC survey: Finance leaders worried about global recession
The potential for the coronavirus outbreak to lead to a global recession topped the list of concerns among finance leaders based in the United States and Mexico, according to a new survey released by PwC.