All Chief Compliance Officer articles – Page 33
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SEC bars chief compliance officer for role in overbilling scheme
The former chief compliance officer of Yellowstone Partners, a now-defunct registered investment advisory firm, has been barred from practice for his role in an overbilling scheme that defrauded clients out of $11.8 million.
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TruClarity Wealth Advisors names chief compliance officer
TruClarity Wealth Advisors, an SEC-registered investment adviser launched in September 2019, has named Catherine Mustico as chief compliance officer.
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BNP Securities appoints new chief compliance officer
BNP Paribas recently announced the appointment of Theresa McCloskey as chief compliance officer for BNP Securities, the company’s registered broker-dealer and futures commission merchant.
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Capitala Group names chief compliance officer
Capitala Group, a provider of capital to lower middle market companies, has appointed Kevin Koonts as chief compliance officer and secretary of Capitala Finance.
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Aerie Pharmaceuticals appoints chief compliance officer
Aerie Pharmaceuticals has appointed Charlene Davis as vice president and chief compliance officer.
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Northwestern Mutual appoints chief compliance officer
Northwestern Mutual recently announced it has made several changes to the company’s senior leadership team, including the appointment of a new chief legal and compliance officer.
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Virtua Capital Management names chief compliance officer
Virtua Capital Management, the capital formation arm of global private-equity real-estate investment manager Virtua Partners, has appointed Curtis Christensen as chief compliance officer.
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TIAA adds chief risk and compliance officer
Financial services provider TIAA appointed David Nason to the newly created position of chief risk and compliance officer.
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CentralReach appoints chief legal and compliance officer
CentralReach, a provider of electronic health record and practice management solutions, has appointed Perry Pappas as senior vice president, chief legal and compliance officer.
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Handelsbanken appoints chief compliance officer
Handelsbanken, a Swedish consumer banking company, has announced the appointment of Martin Noréus as chief compliance officer.
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Embattled Swedbank names permanent CCO
Faced with numerous AML investigations, Swedbank made several significant moves this week, including naming a permanent CCO and agreeing to waive attorney-client privilege by handing over an internal report to local prosecutors.
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Extreme Reach names vice president of compliance
Extreme Reach, a tech platform for video ad campaigns, has appointed Catherine D’Amato to the newly created role of vice president of compliance.
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CFTC orders chief compliance officer to pay $150K for fraud
The CFTC has ordered a chief compliance officer to pay $150,000 for engaging in fraudulent acts and making false statements to a self-regulatory organization.
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American Riviera Bank names chief compliance and risk officer
American Riviera Bank has named Laurel Sykes as executive vice president, chief compliance and risk officer.
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Pangea Money Transfer appoints chief compliance officer
Pangea Money Transfer, a mobile-centric money-transfer platform, announced it has appointed Alex Levine as general counsel and chief compliance officer.
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Nasdaq has a new chief legal officer
Nasdaq has named John Zecca as executive vice president and chief legal officer, responsible for managing Nasdaq’s regulatory oversight, legal counsel, and compliance across the company’s global businesses.
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Gemini adds chief compliance officer
Cryptocurrency exchange Gemini Trust Company announced Noah Perlman has joined as its new chief compliance officer.
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Kadmon appoints general counsel, chief compliance officer
Kadmon Holdings announced the appointment of Gregory Moss as executive vice president, general counsel, and corporate secretary. Moss will also serve as chief compliance officer.
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FIFA chief compliance officer joins DLA Piper
Global law firm DLA Piper announced that Edward Hanover, former chief compliance officer at FIFA, will join the firm’s litigation practice as a partner in Northern California based in its Silicon Valley office.