All Compliance Week articles in Web Issue
View all stories from this issue.
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News Brief
Prager Metis agrees to pay $2M over failed audits, including FTX
Waves of fallout from the collapse of cryptocurrency trading platform FTX continue to ripple, as accounting firm Prager Metis has learned.
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Blog
Cardless hires chief compliance officer
Fintech innovator Cardless announced that Ailien Phan will be its chief compliance officer.
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Blog
Unipart names chief sustainability officer
Unipart, a supply chain solutions and performance improvement technologies partner, appointed Andy Pyne as chief sustainability officer.
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Blog
WS Audiology announces legal chief, GC
WS Audiology announced that Hea Vinskov has been appointed chief legal officer and general counsel, effective Oct. 21.
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Blog
Bank of China appoints risk chief
Bank of China announced the appointment of Zhao Rang as its chief risk officer.
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News Brief
SEC fines First Horizon $325K for RegBI violations caused by merger
First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it violated Regulation Best Interest in part due to issues with incorporating a merged firms’ accounts into its systems.
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News Brief
FDIC proposes requiring banks to keep better deposit records of fintech partners
The Federal Deposit Insurance Corporation proposed a new rule that would require banks to keep better deposit records on ownership of funds controlled by their financial technology partners.
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Blog
First Financial Bankshares announces GC
First Financial Bankshares announced the election of Brian Goodrich as executive vice president and general counsel.
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Blog
ALFI appoints general counsel
The Association of the Luxembourg Fund Industry announced the appointment of Corinne Lamesch as deputy CEO and general counsel.
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Premium
Bank mergers will receive more antitrust scrutiny under new FDIC rule
Federal banking regulators approved a new rule for bank mergers that will require additional scrutiny of mergers for antitrust issues for large and mid-sized banks.
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Blog
The Wendy’s Company announces CLO
The Wendy’s Company announced the appointment of John Min as the chief legal officer and secretary.
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Blog
US Capital Global names global CCO
US Capital Global announced the appointment of Pankaj Vashisth as partner and global chief compliance officer.
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Blog
Corza Medical appoints compliance chief
Corza Medical announced the appointment of Jason Abair as its new vice president, legal & chief compliance officer.
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Blog
Verisma names general counsel
Health information solutions provider Verisma welcomed Becca Mix as general counsel.
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Blog
DNSFilter promotes GC to legal chief
Content filtering and threat protection service DNSFilter promoted its General Counsel Lauren Romer to chief legal officer.
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Blog
Cellares appoints general counsel
Cellares, a leader in cell therapy manufacturing, announced the leadership appointment of Jonathan Butler as general counsel and corporate secretary.
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Blog
Butterfield announces risk chief
The Bank of N.T. Butterfield & Son Limited announced the appointment of Andrew Burns to chief risk officer, Cayman Islands, effective Oct. 1.
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Blog
Waterfall Asset Management names GC, compliance chief as partner
Waterfall Asset Management announced that its Chief Operating Officer, General Counsel, and Chief Compliance Officer Kenneth Nick has become partner in the firm.
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Blog
Amherst appoints general counsel
The Amherst Group, a real estate investment, development and operating platform, announced the appointment of Peter Campbell as general counsel.
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Blog
Amcor announces first sustainability chief
Packaging solutions firm Amcor announced that David Clark, previously its vice president, sustainability, has been appointed to the new chief sustainability officer role.