All Chief Compliance Officer articles – Page 34
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Still under probation, Carnival names chief ethics and compliance officer
Under probation for a history of environmental violations and ordered to restructure its compliance program, Carnival has appointed a new chief ethics and compliance officer as well as a vice president of corporate environmental compliance.
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Athena Capital appoints chief compliance officer
Athena Capital Advisors, a privately owned registered investment advisor, has appointed Beth Lehman as deputy general counsel and chief compliance officer.
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Chief compliance officer liability and the opioid epidemic
In a period of three months, two chief compliance officers have been charged for their individual roles in the opioid epidemic—a clear indication the Department of Justice continues to expand the scope of prosecutions to those who fail in their compliance responsibilities.
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Celsius Network names new chief compliance officer
Celsius Network, a London-based cryptocurrency platform, has appointed Jeremie Beaudry as chief compliance officer.
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BroadRiver appoints general counsel and chief compliance officer
BroadRiver Asset Management, with assets under management of $1.4 billion, has appointed Emma Dickson as general counsel and chief compliance officer.
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Broe Group names chief compliance officer
The Broe Group and its affiliates, a privately owned, real estate, transportation, energy, and investment firm, has named Doug Van Wyk general counsel and chief compliance officer.
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Intra-Cellular Therapies appoints chief compliance officer
Intra-Cellular Therapies, a biopharmaceutical company, has appointed Karen Sheehy as chief compliance officer.
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Health Insurance Innovations appoints chief compliance officer
Health Insurance Innovations, a cloud-based technology platform and distributor of health insurance and life insurance products, has appointed Domenick DiCicco as its chief compliance officer and counsel.
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Genstar Capital names chief compliance officer
Genstar Capital, a private equity firm, has appointed Carolyn Greenwalt as chief compliance officer.
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Amid investigation, Nordea names chief compliance officer
Scandinavia’s biggest banking group, Nordea, has appointed Helene Jepson as chief compliance officer and head of group compliance.
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Blog
Eiger BioPharmaceuticals names chief compliance officer
Eiger BioPharmaceuticals has appointed Stephana Patton as general counsel, corporate secretary, and chief compliance officer.
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Credit Suisse appoints new chief compliance officer, chief risk officer
The Credit Suisse Group has announced several changes to its executive board, with immediate effect, including a new chief compliance officer and new chief risk officer, as the bank reorganizes its compliance function.
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Blog
Cavco Industries appoints chief compliance officer
Cavco Industries, a designer and builder of systems-built structures, has appointed Mickey Dragash as executive vice president, general counsel, corporate secretary, and chief compliance officer, effective as of Feb. 6.
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KEPRO appoints general counsel and chief compliance officer
KEPRO, a diversified healthcare information company, has appointed Melissa Leigh to the newly created role of general counsel and chief compliance officer. In this role, Leigh will lead KEPRO’s in-house legal, compliance, and risk management functions.
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Churchill Mortgage appoints chief compliance officer
Churchill Mortgage, a privately owned company that provides residential mortgages, has named Liliana Nigrelli as chief compliance officer.
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Blog
Conduent names chief compliance officer
Conduent, a business services technology company, has appointed Brian Clayton as chief compliance officer.
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TRON hires its first head of compliance
David Labhart, a former supervisory attorney with the U.S. Securities and Exchange Commission, has joined TRON as the blockchain network's first head of compliance to help navigate its interaction with regulatory agencies and other financial authorities around the world.
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GPB Capital appoints chief compliance officer
GPB Capital Holdings has appointed Michael Cohn, who was formerly with the Asset Management Unit of the SEC’s Enforcement Division, as managing director and chief compliance officer.
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Vanderbilt Financial Group names new chief compliance officer
Investment firm Vanderbilt Financial Group announced the promotion of Steve Howe to the position of chief compliance officer.
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Boston Mutual appoints chief compliance, privacy, and AML officer
Boston Mutual Life Insurance Company, a national insurance carrier, has appointed Christine Williams as second vice president - chief compliance, privacy, and anti-money laundering officer.