All Finance articles – Page 66
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Article
Allianz promotes new compliance chief
Allianz Holdings has appointed Margo Young as chief compliance officer. Young replaces Ann Alexander, who recently retired from the business.
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Article
Gemini tabs CCO for European expansion
Gemini Europe, the U.K. and European affiliate of cryptocurrency exchange Gemini Trust Company, announced the appointment of Blair Halliday as chief compliance officer and money laundering reporting officer.
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ArticleSix strategies for FinTech adoption in banking
Thomas Wan of the International Compliance Training Academy outlines strategies for navigating the dynamic terrain of FinTech adoption within the banking industry.
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Article
E*TRADE names chief risk officer
E*TRADE Financial Corp. announced Brent Simonich will assume the chief risk officer role after Paul Brandow advised the company of his decision to retire, following over a decade of service to the firm.
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Article
Great Rock tabs chief risk officer
Commercial finance company Great Rock Capital announced Kathleen Auda has joined the firm as chief risk officer.
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ArticleLawmakers push for FTC probe into Envestnet data sales
Democratic Sens. Ron Wyden and Sherrod Brown and Rep. Anna Eshoo sent a letter to the Federal Trade Commission urging the agency to investigate Envestnet’s selling practices regarding consumer financial data.
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Article
B. Riley Wealth Management tabs general counsel, CCO
B. Riley Wealth Management, a subsidiary of B. Riley Financial, announced the appointment of Michael Markunas as general counsel and chief compliance officer.
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ArticleFRC calls for better reporting to improve trust
U.K. regulator the Financial Reporting Council’s annual review shows many of Britain’s largest companies use a “tick-box” approach to compliance with the U.K. Corporate Governance Code—often providing scant explanations and little detail.
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Article
Wells Fargo adds enterprise risk chief
Financial services giant Wells Fargo announced Price Sloan will join the company as chief strategic enterprise risk officer.
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ArticleUK Finance slams overregulation in financial services sector
UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.
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ArticleSwiss firm, owner face charges in stock manipulation scheme
The SEC and DOJ have separately announced charges against a Swiss asset management firm and several individuals for engaging in a long-running stock manipulation scheme involving numerous U.S. issuers. The charges resulted from a failed attempt to circumvent disclosure requirements imposed by securities laws.
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ArticleUBP to pay additional $14M for hidden accounts
Union Bancaire Privée (UBP), a Swiss private bank, must pay an additional $14 million to the U.S. government for accounts it failed to disclose in an addendum to a non-prosecution agreement reached with the Department of Justice four years ago.
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Article
Hong Kong’s SFC fines RHB Securities Hong Kong $6.4M
Hong Kong’s Securities and Futures Commission has fined RHB Securities Hong Kong $6.4 million for failing to comply with regulatory requirements on conflicts of interest and supervision of account executives.
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Article
The Bancorp names new compliance, risk chiefs
The Bancorp, a service provider for non-bank financial service companies, announced the addition of Michael Althouse as chief compliance officer and Keith Owes as chief risk officer.
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ArticleAGCS report: Five biggest risks for senior managers in 2020
Allianz Global Corporate & Specialty’s latest report highlights five “megatrends” that will have significant risk implications for senior management in 2020 that should be of interest to compliance officers.
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ArticleInternational banking regulator: Big Tech ‘may pose risks to financial stability’
Big technology firms like Amazon, Facebook, Twitter, and Google are a potential risk if they get more heavily involved in providing financial services, says the Financial Stability Board.
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ArticleMorgan Stanley fined $22.2M for manipulating bond prices
France’s financial market regulator has fined Morgan Stanley €20 million (U.S. $22.2 million) for manipulating the price of French and Belgian government bonds in June 2015.
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ArticleJefferies to pay $4M for improper handling of ADRs
Broker-dealer Jefferies will pay $4 million to settle charges for the improper handling of “pre-released” American Depositary Receipts (ADRs), the Securities and Exchange Commission announced.
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Article
Former Fed Chair Paul Volcker passes away
Paul Volcker, former chairman of the Federal Reserve and eponym to the controversial Volcker rule of the Dodd–Frank Act, died Sunday. He was 92.
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Article
Principal Financial appoints general counsel
Financial investment management company Principal Financial Group announced the appointment of Christopher Littlefield as its new general counsel.