All Chief Compliance Officer articles – Page 29
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10 reasons why you should be a compliance officer
Jonathan Bowdler of the International Compliance Association shares his list of factors that make compliance an appealing profession today.
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Citi appoints CCO for Australia, New Zealand
Citi Australia announced the appointment of Sarah Stewart as managing director and chief country compliance officer for Australia and New Zealand.
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Cordant Health names chief compliance officer
Medical technology company Cordant Health Solutions announced the appointment of Regina Morano as chief regulatory and compliance officer.
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Collaborative Imaging appoints chief compliance officer
Collaborative Imaging, a radiologist-owned alliance with more than 500 radiologists, has appointed David Silva as chief compliance officer.
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SEC bars CCO associated with alleged trading scheme
The Securities and Exchange Commission has permanently barred the former chief compliance officer of a once-registered brokerage firm for her role in an alleged fraudulent unauthorized trading scheme.
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Seniorlink names chief compliance, privacy officer
Tech-enabled health services firm Seniorlink announced the appointment of Amy McConnell as chief compliance and privacy officer.
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Bioventus tabs chief compliance officer
Orthobiologic solutions provider Bioventus appointed Katrina Church as chief compliance officer.
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Wells Fargo CCO Roemer to depart amid new risk hirings
Wells Fargo announced Chief Compliance Officer Mike Roemer will depart two years after taking on the daunting task of transforming the troubled bank’s compliance and risk management efforts. Paula Dominick will succeed him as CCO.
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NRA shot itself in foot with poor compliance commitment
The New York Attorney General’s lawsuit to dissolve the National Rifle Association might not play out as intended, but it nevertheless exposes a number of systemic compliance flaws at the organization that appear to still need to be addressed.
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Canadian market regulator floats flexible firm CCO models
The Canadian Securities Administrators has published guidance that effectively gives registered firms in Canada more flexibility in satisfying chief compliance officer staffing requirements through three optional models.
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Credit Suisse combines risk and compliance, adds sustainable investing unit
Credit Suisse has combined separate risk and compliance heads into one board-level position, part of a shakeup of the bank’s corporate structure that includes a renewed emphasis on sustainable investing.
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Harbour Trust names chief compliance officer
Harbour Trust & Investment Management Company has appointed Martha Wargo Oprea to the role of vice president and chief compliance officer.
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Aegis Capital hires two compliance officers
Aegis Capital, a wealth management, financial services, and investment banking firm, announced the hiring of two veteran compliance officers with over 40 years of combined experience in compliance.
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The problem with ‘ghost CCOs’ and the haunting consequences
If you’re a small investment firm owner acting as your firm’s chief compliance officer, here are some scary stories that might keep you up at night.
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HSBC US appoints chief compliance officer
HSBC has appointed Christine Lowthian as chief compliance officer US, effective as of July 20.
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Weatherford names chief compliance officer, general counsel
Multinational oil and gas company Weatherford International announced the appointment of Scott Weatherholt as executive vice president, general counsel and chief compliance officer.
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Vale appoints chief compliance officer
Brazilian mining company Vale announced the appointment of Denis Cuenca as chief compliance officer following recommendations from an independent investigation committee.
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Millennium Trust names chief compliance officer
Millennium Trust Company, a provider of retirement and institutional services, announced Jason Lomax has joined the firm as its new chief compliance officer.
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CCO Hinton leaves Google to advise whistleblower startup
Andy Hinton told CNBC he left his longtime position as vice president and chief compliance officer at Google in March as he looks toward a new role advising a startup that offers a whistleblower app.
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Howard University appoints chief compliance officer
Howard University announced the appointment of Robert Clark as its new chief compliance officer.