All Thomas Ward articles

  • Londoncrop
    Article

    FCA fines, bans director over unauthorized compliance duties

    2022-05-10T16:34:00Z

    Thomas Ward, a former head of compliance at an investment management firm who once worked as a compliance inspector for a U.K. regulator, was fined 416,558 pounds (U.S. $513,000) and banned from working in the financial services sector following a tribunal ruling.

  • CFPB
    Article

    CFPB stirs controversy with enforcement head hire

    2020-01-31T19:35:00Z

    The Consumer Financial Protection Bureau has faced the ire of the House Financial Services Committee regarding its hiring of former DOJ employee Thomas Ward to lead its enforcement efforts.