All Thomas Ward articles

  • Londoncrop

    FCA fines, bans director over unauthorized compliance duties


    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

    CFPB stirs controversy with enforcement head hire


    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.