All Chief Compliance Officer articles – Page 18
-
Article
DermTech appoints chief compliance officer
Biotechnology research firm DermTech announced the appointment of Jennifer Eilemberg as chief compliance officer.
-
Article
IDIQ names chief compliance officer
IDIQ, an identity theft protection and credit reporting monitor, announced the appointment of Beth Cheeseman Kearney as general counsel and chief compliance officer.
-
Article
BHG Financial names chief compliance officer
BHG Financial announced the appointment of Matt Ondus as chief compliance officer.
-
Article
Freddie Mac names chief compliance officer
Freddie Mac announced the appointment of Dennis Hermonstyne Jr. as senior vice president and chief compliance officer, effective Sept. 19.
-
Article
Validus Capital appoints chief compliance officer
Investment advisory firm Validus Capital announced the appointment of Sean Chen as chief operating officer, chief compliance officer, and managing partner.
-
Article
Zeta adds chief compliance officer
Fintech startup Zeta announced the appointment of Karla Booe as chief compliance officer.
-
Article
SEC’s Peirce weighs CCO enforcement case against liability framework
What would it look like if the SEC adopted a chief compliance officer liability framework? Commissioner Hester Peirce offered a preview in a statement regarding an enforcement action against the CCO of a formerly registered investment adviser.
-
Article
CCO skepticism toward DOJ compliance certifications justified
Chief compliance officer concerns regarding the Department of Justice’s new certification policy have not been alleviated by the agency’s inconsistent communication regarding the requirement.
-
Article
BitPay hires new chief compliance officer
Cryptocurrency platform BitPay has hired Allison Raley as chief compliance officer and general counsel.
-
Article
OneSpan adds chief compliance officer
Cybersecurity software provider OneSpan announced the addition of Lara Mataac as general counsel and chief compliance officer.
-
Article
SEC charges investment adviser, CCO with selling fraudulent securities
A.G. Morgan Financial Advisors, its owner, and its former chief compliance officer were charged by the SEC with securities laws violations for unlawfully offering and selling more than $500,000 worth of unregistered, fraudulent securities.
-
Article
WellBe Senior Medical appoints chief compliance officer
WellBe Senior Medical announced the appointment of Joshua Aubey as chief compliance officer.
-
Article
DOJ recruits Hewlett Packard Enterprise CECO to lead Fraud Section
The Justice Department’s Criminal Division added another chief compliance officer to its ranks with the appointment of Glenn Leon to serve as chief of the Fraud Section.
-
Article
Indictment: Ex-CCO charged with wire fraud over misappropriated funds
Jennifer Campbell, a former chief compliance officer at an unnamed investment adviser in Buffalo, N.Y., faces criminal and civil charges for allegedly misappropriating approximately $500,000 in funds from client accounts.
-
Article
Ranger Investments appoints chief compliance officer
Ranger Investment Management announced the appointment of Melanie Mendoza as chief compliance officer.
-
Article
Former Danske Bank CCO Philippe Vollot resigns
Danske Bank Chief Administrative Officer Philippe Vollot, who was promoted to the position from chief compliance officer in November, has resigned, the Danish bank announced.
-
Article
WonderFi adds chief compliance officer
WonderFi, a technology company serving the financial services and cryptocurrency sector, announced the appointment of Torstein Braaten as chief compliance officer.
-
Article
Lessons learned from Olympus compliance monitorship
Christine Gordon, chief compliance officer at Olympus Corporation of the Americas, spoke about her company’s experience working with a DOJ-selected independent monitor at Compliance Week’s National Conference.
-
Article
Monogram Health appoints chief compliance officer
Monogram Health, an in-home healthcare provider, added Karen Abbott as chief administrative officer and chief compliance officer.
-
Article
Gunderson Dettmer recruits ex-Andreessen Horowitz CCO as partner
Law firm Gunderson Dettmer announced the appointment of former Andreessen Horowitz Chief Compliance Officer Benjamin Buckwalter as partner in its corporate and securities practice.