All Chief Compliance Officer articles – Page 16
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Former investment adviser CCO pleads guilty to wire fraud
Jennifer Campbell, the former chief compliance officer of a New York-based investment adviser, faces up to 20 years in prison and a $250,000 fine after pleading guilty to wire fraud in federal court.
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American Financial Group promotes CCO to general counsel
American Financial Group announced the promotion of Chief Compliance Officer Mark Weiss to senior vice president and general counsel.
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National Bank of Coxsackie appoints chief compliance officer
The National Bank of Coxsackie announced the appointment of Sarah Hodgens as chief compliance officer.
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BetMGM appoints chief compliance officer
Sports betting and digital gaming entertainment company BetMGM announced Rhea Loney will join its executive team as chief compliance officer.
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First Farmers names chief compliance officer
First Farmers and Merchants Corp., the holding company for First Farmers and Merchants Bank, announced Darcy Wagner has been promoted to chief compliance officer and member of the administration team.
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Credit Suisse names new CCO, plans strategic overhaul
Credit Suisse announced sweeping changes to its strategy that includes selling off parts of its investment banking portfolio and shrinking its global headcount—an attempt to pivot from risky investment ventures and back toward its historic specialty of wealth management.
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Greenlight Capital Re CCO to depart
Greenlight Capital Re and Greenlight Reinsurance disclosed Laura Accurso, general counsel, corporate secretary, and chief compliance officer, will depart, effective Dec. 31.
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Stewart Information Services CCO to retire
Stewart Information Services Corp., a global real estate services company, announced the planned retirement of Chief Compliance Officer John Killea, effective early next year.
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Intel appoints chief compliance officer
Technology giant Intel Corp. promoted Carol Tate to vice president and chief compliance officer.
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USOSM names chief compliance officer
U.S. Oral Surgery Management announced the appointment of Erik Pahl as general counsel and chief compliance officer.
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State Street recruits global CCO from Google
State Street Corp. hired Yvette Hollingsworth Clark to be its global chief compliance officer and executive vice president. Hollingsworth Clark joins from Google, where she served as head of compliance for the consumer trust business.
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Reports: Controversial Activision Blizzard CCO steps down
Activision Blizzard Chief Compliance Officer Frances Townsend, a central figure in the video game developer’s corporate culture scandal, stepped down from her position, according to multiple reports.
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Lighthouse Guild adds chief compliance officer
Lighthouse Guild, a provider of medical assistance and social support to people who are blind or visually impaired, announced the appointment of Nicole Hart as general counsel and chief compliance officer.
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Kettering Health appoints chief compliance officer
Nonprofit medical center network Kettering Health announced the appointment of Audrey Adams Mondock as chief compliance officer and vice president of corporate integrity and ethics.
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CoinSmart names chief compliance officer
Canada-based crypto asset trading platform CoinSmart Financial announced the appointment of Sheereen Khan as chief compliance officer.
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Binance recruits head of compliance from Kraken
Cryptocurrency exchange Binance bolstered its compliance team by adding Kraken’s Steven Christie as senior vice president of compliance, a Binance spokeswoman confirmed.
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Snap recruits chief compliance officer from Peloton
Social media company Snap filled its vacant chief compliance officer post last month by hiring former Peloton Head of Compliance and Risk Lance Lanciault, a Snap spokesperson confirmed.
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Arcadia fined $90K for custody rule violations; CCO to undergo training
New York-based investment adviser Arcadia Wealth Management will pay $90,000 for violating a Securities and Exchange Commission rule by failing to obtain “surprise” examinations of advisory client assets.
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HarbourVest Partners appoints chief compliance officer
HarbourVest Partners, a global private markets investment specialist, announced the appointment of Adam Freedman as managing director and chief compliance officer.
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Bramshill Investments promotes compliance director to CCO
Asset management firm Bramshill Investments announced the promotion of Senior Director of Compliance Mona Daruwala to chief compliance officer.