All Compliance Week articles in Web Issue
View all stories from this issue.
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News Brief
SEC steps in to protect institutional investors, fines Macquarie Asset Management nearly $80M
Historically, the Securities and Exchange Commission has fiercely protects the rights of retail investors, and is constantly churning out enforcement actions against investment advisers it alleges have defrauded and manipulated its customers. So, it was somewhat unusual that SEC issued an enforcement action this week that involved protecting the rights ...
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Blog
FINRA names XML Securities’ CCO to board of governors
FINRA announced the election of Jennifer Szaro, chief compliance officer and a managing equity owner at XML Securities and its affiliated registered investment adviser, XML Financial Group, to its board of governors.
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Blog
Safe-Guard Products International names CRO
Safe-Guard Products International, provider of third-party private label protection products for the automotive, RV, marine, and powersports industries, announced the appointment of Alen Gong as chief risk officer.
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News Brief
‘Biblically responsible’ investment adviser ordered to pay $300K over misleading investors
A “biblically responsible” investment adviser agreed to pay $300,000 and hire an independent compliance consultant to settle charges with the Securities and Exchange Commission that it misled investors, along with other compliance failures.
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News
FTC sounds alarm on business practices turning into ‘vast surveillance’
The Federal Trade Commission took aim at the business models of some of the world’s largest companies, publishing a years-long study that decried technologies that have created “vast surveillance” networks that expose people to “a host of harms” and violate children’s privacy laws.
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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.