- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
London-based digital securities exchange Archax announced it has appointed Alex Royle as its chief compliance officer.
Royle brings extensive compliance and regulatory experience, most recently leading the supervisory effort of a number of multilateral trading facilities at the U.K. Financial Conduct Authority. Prior to that he served as a seconded national expert in markets policy at the European Securities & Markets Authority.
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Versant Health, a national managed eye health and vision plan company, has appointed Lula Richards as its new chief compliance officer.
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.
Investment wealth advisory firm Moors and Cabot announced the promotion of Katherine Kelliher to senior vice president, chief compliance officer.
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