All Chief Compliance Officer articles – Page 45
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Eastern Bank Taps Former CFPB Deputy Director as CCO
Eastern Bank, a full-service commercial bank headquartered in Boston, announced this week that it has appointed Steven Antonakes as chief compliance officer. Antonakes most recently served as Deputy Director and the Associate Director for Supervision, Enforcement, and Fair Lending at the Consumer Financial Protection Bureau. Details inside.
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VNA Homecare Appoints Corporate Compliance Officer
VNA Homecare has appointed Dawn Richey as corporate compliance officer. She previously served as manager of Emergency Preparedness at Crouse Hospital. Details inside.
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IFAM Capital Names John Lauer CCO, COO
IFAM Capital, a wealth management firm, has announced the appointment of John Lauer has been as its new chief operating officer and chief compliance officer.
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ACADIA Pharmaceuticals Names New CCO
ACADIA Pharmaceuticals, a biopharmaceutical company based in San Diego, has named Ryan Brown as a vice president and chief compliance officer. Brown will be responsible for developing, implementing, and managing the company’s corporate compliance program to support the planned commercialization of a treatment for psychosis associated with Parkinson’s disease.
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Stephen Van Meter is New CCO for Federated Investors
Federated Investors has appointed Stephen Van Meter as chief compliance officer, effective July 30. Van Meter, also appointed chief compliance officer of the Federated family of funds, replaces retiring CCO Brian Bouda.
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National Planning Corporation Names CCO
National Planning Corporation, an independent broker-dealers, has announced the appointment of Patricia McCallop as chief compliance officer. She will be responsible for leading NPC’s compliance team and overseeing the company’s adherence to state and federal regulations. Details inside.
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HomeBancorp Names Chief Risk and Compliance Officer
HomeBancorp, a financial institution, recently promoted Jon James as chief risk and compliance officer. He formerly was BSA and retail compliance officer. Details inside.
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Primary Residential Mortgage Names Chief Compliance Officer
Primary Residential Mortgage, a residential mortgage lender, has named Burton Embry as chief compliance officer. In this capacity, he is responsible for the company’s risk, regulatory, and compliance management programs. Details inside.
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White: SEC Enforcement Not Targeting Compliance Professionals
Image: The message from SEC Chairman Mary Jo White to compliance officers: They are not the target of enforcement efforts. Speaking to 1,000 compliance officers from financial services firms and broker-dealers at a Commission-sponsored forum, White said, “We do not bring cases based on second guessing compliance officers’ good faith ...
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Excel Investment Counsel Names Chief Compliance Officer
Excel Funds Management has promoted Christine Tan to senior portfolio manager and chief compliance officer at Excel Investment Counsel, a subsidiary of Excel Funds. Details inside.
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Bankers Need to Clean Up Their Act, Allianz Exec Says
Image: Elizabeth Corley, global chief of Allianz Global Investors, warns that there can be serious consequences to the economy if bankers continue to engage in reckless misconduct. Corley says rogue bankers often see wrongdoing as a minor rather than a serious offence, which can lead to bigger problems for financial ...
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SEC Rebukes Investment Advisory Firm for Ignoring CCO Pleas
A bit of good news amid the discussion of personal liability for chief compliance officers: The SEC has delivered a one-year suspension to an investment advisory firm’s former president on the grounds that he consistently ignored the chief compliance officer’s request for resources, which led to the firm’s compliance failures. ...
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SEC Charges CCO of SFX With Compliance Failures
The Securities and Exchange Commission last week brought fraud charges against the former president of SFX Financial Advisory Management Enterprises for stealing client funds. The firm and its chief compliance officer separately agreed to settle charges that they were responsible for related compliance failures and other violations. Details inside.
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NFP Advisor Services Appoints CCO
NFP Advisor Services, a provider of wealth management solutions, integrated technology, and business consulting, has promoted Mike Pedlow to chief compliance officer. In his new role, Pedlow is charged with supervising all compliance efforts and leading the compliance management team. Details inside.
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Millennium Capital and Recovery Names Chief Compliance Officer
Millennium Capital and Recovery, a provider of nationwide recovery management services, has appointed Daniel Clevenger as general counsel and chief compliance officer. Clevenger will lead the company’s in-house legal and compliance activities. Details inside.
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Morf Media Names Chief Compliance Officer
Morf Media, a compliance training company for the mobile workforce, has named Angela Bazigos as chief compliance officer and head of the life sciences business unit. In this role, Bazigos will help drive the company’s leadership initiatives in providing strategic compliance training software solutions to life sciences organizations around the ...
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SCOR Names Global Chief Compliance Officer
Global reinsurer SCOR has appointed Spencer Alridge as group chief compliance officer. He reports to Romain Launay, general secretary, effective as of June 1. Details inside.
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Lumber Liquidators Chief Compliance Officer (Quietly) Departs
Ray Cotton, chief compliance officer of Lumber Liquidators, apparently left the company in May, according to his LinkedIn page. The embatteld hardwood flooring company currently is under investigation by numerous state and federal agencies and is facing more than 100 class-action lawsuits after a 60 minutes report accused the company ...
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Deutsche Post CCO Joins Nardello & Co.
Geoffrey Cruikshanks, former general counsel and chief compliance officer at Deutsche Post, has joined global investigations firm, Nardello & Co., as its chairman. He will be based in Brussels and London and will work to develop and implement the firm’s international growth strategy. Details inside.
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Worldwide Express Names Chief Compliance Officer
Worldwide Express, a global logistics franchisor, has named Richard Kolman as general counsel and chief compliance officer. In this capacity, Kolman manages the legal and franchise compliance departments, including overseeing network compliance with system standards. Details inside.