All Finance articles – Page 22
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Blog
SAFCO welcomes compliance VP, general counsel
Southern Auto Finance Company announced the appointment of Marissa Kaliman as vice president of compliance and general counsel.
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Van Lanschot Kempen names chief risk officer
Specialist wealth manager Van Lanschot Kempen named Damla Hendriks to the position of chief risk officer as a member of the management board.
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Revelstoke Capital Partners names CCO as partner
Private equity firm Revelstoke Capital Partners announced Blake Bennett will serve as partner, chief financial officer and chief compliance officer.
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Nubank adds chief legal officer
Brazil-based financial services platform Nubank announced the arrival of Elita Ariaz as its new chief legal officer.
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PremiumFCA calls attention to continued trade manipulation tactics
Financial firms continue to flout rules designed to protect investors from being misled about the true value of financial products, according to a recent bulletin from the U.K.’s Financial Conduct Authority.
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PremiumFinCEN head touts compliance through enforcement approach
Andrea Gacki, head of the Financial Crimes Enforcement Network, said recent enforcement actions by the agency have addressed significant gaps in the U.S. anti-money laundering/countering the financing of terrorism regime and exposed specific risk factors, trends, and typologies.
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News BriefNew European AML agency to be based in Germany
The European Union’s recently approved Anti-Money Laundering Authority will be based in Frankfurt, Germany, and begin operations in 2025.
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News BriefCFPB exercises power to supervise installment lender World Acceptance
Installment lender World Acceptance Corp. was the subject of the Consumer Financial Protection Bureau’s first use of a dormant legal provision allowing it to establish supervisory authority over more nonbank financial companies.
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Nuveen Churchill Direct Lending appoints new compliance chief
Specialty finance company Nuveen Churchill Direct Lending announced the appointment of Charmagne Kukulka as chief compliance officer.
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Resourcee-Book: Solving the off-channel communications conundrum
Firms attempting to meet regulatory requirements for monitoring employee use of off-channel communications for business purposes face a bedeviling number of obstacles.
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News Brief
TIAA unit to pay $2.2M for Reg BI lapses
A subsidiary of the Teachers Insurance and Annuity Association of America agreed to pay more than $2.2 million as part of a settlement with the Securities and Exchange Commission for not acting in the best interest of its retail customers regarding their retirement accounts.
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News BriefVanEck fined $1.8M over influencer promo nondisclosure
Van Eck Associates agreed to pay $1.75 million as part of a settlement with the Securities and Exchange Commission regarding its alleged failure to properly disclose the planned involvement of a social media influencer in the launch of an exchange-traded fund.
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News BriefMorgan Stanley fined $1.6M by FINRA over municipal securities closeouts
Morgan Stanley will pay a $1.6 million fine levied by the Financial Industry Regulatory Authority for failing to close out certain municipal securities transactions over a five-year period.
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AADR adds JG Wentworth CCO to executive board
The American Association for Debt Resolution added Lori Lasher, JG Wentworth’s executive vice president, chief legal officer, chief compliance officer, and general counsel, to its executive board of directors.
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Kafene appoints general counsel
Kafene, a point-of-sale leasing platform, announced the appointment of Vin Thomas as general counsel and corporate secretary.
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Evolve Bank & Trust appoints chief risk officer
Financial technology organization Evolve Bank & Trust announced it appointed Peter Moenickheim as chief risk officer.
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Yorkshire Building Society names new risk chief
U.K.-based financial services provider Yorkshire Building Society appointed Richard Bowles as chief risk officer.
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TransferGo hires chief compliance officer
U.K.-based money transfer services company TransferGo added Simon McFeely to its executive team as chief compliance officer.
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PremiumFinCEN to propose applying BSA requirements to investment advisers
The Financial Crimes Enforcement Network will propose categorizing investment advisers as financial institutions that must comply with the Bank Secrecy Act, including having an anti-money laundering program.
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News BriefFCA fines, bans ex-London Capital & Finance compliance head over promos
The U.K. Financial Conduct Authority issued a fine of £31,800 (U.S. $40,000) against a former compliance director at London Capital & Finance for allegedly approving misleading promotions that led to investor deception.