All Chief Compliance Officer articles – Page 28
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How will Biden administration impact compliance
Six senior compliance practitioners reflect on how they anticipate the Joe Biden presidency, and the expected regulatory changes coming with it, will impact the compliance function.
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Ask a CCO: Compliance leaders share pandemic lessons learned
Six senior compliance practitioners divulge how they fared in 2020, from wrestling with new risks amid the pandemic to the most valuable lessons learned during a year rife with crisis.
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Stratus appoints chief compliance officer
Stratus, a provider of in-home neurodiagnostic testing services, announced the appointment of David Hruda as chief compliance officer.
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MSRB shakeup transitions CCO to chief regulatory officer
Senior leadership changes at the Municipal Securities Rulemaking Board under new CEO Mark Kim include the transition of the organization’s chief compliance officer to the role of chief regulatory officer.
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Apple’s chief security officer (and former CCO) accused of bribery
Apple Chief Security Officer Thomas Moyer, who served as the company’s chief compliance officer for nearly a decade, is facing accusations that he offered bribes in the form of iPads to California state officials in exchange for concealed firearms licenses.
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Conversion Labs names chief compliance officer, general counsel
Conversion Labs, a direct-to-consumer telemedicine and wellness company, has appointed Eric Yecies to the new position of chief compliance officer and general counsel.
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COSO report: Elevating compliance leads to more informed decision-making
Many compliance departments are not independent, but instead report to other departments. COSO recommends compliance be separated out into its own division, led by a chief compliance officer with an executive-level position.
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Poly appoints chief legal and compliance officer
Poly, a communications device manufacturer, announced the appointment of Lisa Bodensteiner as executive vice president, chief legal and compliance officer.
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CCO Philippe Vollot has a plan for Danske’s compliance reboot
Danske Bank CCO Philippe Vollot knows his journey to build a robust compliance program and culture at the troubled lender is far from over.
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Rockefeller Capital adds former Morgan Stanley CCO as general counsel
Financial services firm Rockefeller Capital Management announced the appointment of former Morgan Stanley Global Chief Compliance Officer William Fenrich as general counsel.
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Hormel Foods appoints chief compliance officer
Hormel Foods Corp. announced the appointment of Pierre Lilly as senior vice president and chief compliance officer for the company’s worldwide operations.
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Allianz insurance arm tabs NA chief compliance officer
Allianz Global Corporate & Specialty, a global corporate insurance carrier that is part of the Allianz Group, announced the appointment of Adam Hamm as chief compliance officer for North America.
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SEC Commissioner Hester Peirce mulling CCO liability framework
SEC Commissioner Hester Peirce revealed in a recent speech that she is considering developing a draft framework that would aim to clarify when the Commission may seek personal liability in compliance cases.
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Embattled BitMEX hires chief compliance officer
On the heels of a CFTC enforcement action, cryptocurrency exchange platform BitMEX announced the appointment of Malcolm Wright as chief compliance officer of its operating company 100x Group.
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Gemini adds APAC compliance chief
Gemini Trust Company, a cryptocurrency exchange and custodian, announced the appointment of Andy Meehan as chief compliance officer of the Asia-Pacific region.
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Enjoy ‘Compliance Officer Day’—you’ve earned it
In a 2020 full of Blursdays that all run together, it’s perhaps appropriate that the day created in your honor this year happens to fall when you don’t have to be in the office (otherwise known as your bedroom/kitchen table).
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Visa appoints new chief compliance officer
Payment services giant Visa this month appointed Obiamaka Madubuko as its new chief compliance officer.
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SoftBank adds group compliance officer as CCO departs
SoftBank Group announced the appointment of Tim Mackey as group compliance officer of SoftBank. Earlier this month, Chief Compliance Officer Chad Fentress departed the company to start his own consultancy.
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SEC charges chief compliance officer in stock fraud scheme
A New Jersey-based asset management firm and its president and chief compliance officer are facing SEC charges for “cherry-picking” profitable stocks for new and favored accounts that diminished returns for other clients.
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Citigroup appoints chief compliance officer for Institutional Clients Group
Citigroup announced it has appointed Jennifer Taylor as chief compliance officer for its Institutional Clients Group, effective Dec. 7.