- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Investment management and advisory business Cardano announced the appointment of Keith Guthrie as head of sustainability for the United Kingdom and NOW: Pensions.
Previously deputy chief investment officer at Cardano Investment, Guthrie will join the Cardano sustainability group headed by Group Head of Sustainability Martine Snoek.
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RBC Capital Markets agreed to pay nearly $769,000 to settle allegations levied by the Financial Industry Regulatory Authority, in part, over sending inaccurate information in trade confirmations to customers over nearly a decade.
Lloyds Banking Group is cutting jobs in its risk management function after an internal review reportedly found it was a “blocker” to the organization’s strategic transformation.
Online brokerage services provider TD Ameritrade agreed to pay a $600,000 fine for violations of Financial Industry Regulatory Authority rules over its automated approval system that allegedly allowed inexperienced traders to engage in options trading.
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