All Finance articles – Page 26
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Blog
Cardano appoints U.K. head of sustainability
Investment management and advisory business Cardano announced the appointment of Keith Guthrie as head of sustainability for the United Kingdom and NOW: Pensions.
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Blog
American Association for Debt Resolution appoints compliance head
The American Association for Debt Resolution announced the appointment of Stacey Silva as head of compliance.
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News BriefTrafigura to reserve $127M for DOJ settlement over Brazil bribes
Singapore-based commodity trading company Trafigura said it will disclose a $127 million provision related to the resolution of a Department of Justice investigation into alleged improper payments made in Brazil by former employees.
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News BriefSEC fall regulatory agenda: Climate disclosure rule targeted for 2024
The Securities and Exchange Commission’s latest regulatory agenda remains packed with proposals in the final rule stage, most notably the agency’s climate-related disclosure package.
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PremiumGraphics: 2023 CCO/CECO salary trends
Year 5 of our “Inside the Mind of the CCO” survey saw the average salary of responding chief compliance officers and chief ethics and compliance officers decline slightly, while other statistical trends repeated from previous iterations.
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News BriefFINRA fines four in securities lending sweep
The Financial Industry Regulatory Authority published disciplinary actions against four firms for failing to establish, maintain, and enforce a reasonably designed supervisory system over fully paid securities lending.
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PremiumCFTC’s Pham: ‘There will likely be more’ CCOs charged with individual liability
Caroline Pham of the Commodity Futures Trading Commission said she expects the regulator to pursue more individual liability cases against chief compliance officers, in the aftermath of landmark charges laid against the former CCO at Binance.
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PremiumSurveys: Finance, legal execs share concerns around AI use
Finance executives and general counsel alike say their firms and leadership teams are unprepared for the risks and benefits of artificial intelligence, according to two recent surveys.
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Blog
LexinFintech Holdings appoints chief risk officer
Financial technology company LexinFintech Holdings announced its board of directors appointed Zhanwen Qiao as chief risk officer.
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OpinionBook review: Demythologizing money laundering, demystifying AML compliance
Movies and TV shows might have launched a thousand armchair experts on the topic of money laundering, but few can explain how or why it’s done. Ola Tucker’s book, “The Flow of Illicit Funds,” does exactly that.
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ArticleConsumer Duty: What are the next steps?
Matti Pekkola of investor services group IQ-EQ identifies key trends from the past year of working with regulated firms on U.K. Consumer Duty compliance.
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News BriefCFTC proposes guidance for voluntary carbon credits
The Commodity Futures Trading Commission promoted the need for developing high-integrity voluntary carbon markets in publishing proposed guidance for the listing of voluntary carbon credit derivative contracts.
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Blog
LPL Financial names chief compliance officer
LPL Financial announced the appointment of Jim McHale as executive vice president and chief compliance officer.
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Blog
Modern Wealth Management appoints chief compliance and legal officer
Modern Wealth Management announced the hiring of J.P. Rankin as chief compliance and legal officer.
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PremiumCompliance officers share lack of faith in off-channel comms monitoring policies
Addressing employee use of off-channel communications for conducting business was clearly on the minds of compliance officers who responded to our “Inside the Mind of the CCO” survey, but their confidence in their related policies and procedures was surprisingly weak.
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Blog
FinTech Australia adds Birchal legal chief to board
Advocacy body FinTech Australia added Kellie Morton, chief legal officer and director at Birchal, to its board.
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Blog
European Stability Mechanism names general counsel
The European Stability Mechanism appointed João Gião as its general counsel.
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Blog
AIMCo announces chief legal officer
The Alberta Investment Management Corp. announced the appointment of Shelley Nixon as chief legal officer.
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News BriefFCA adopts rule package aimed at thwarting greenwashing
The Financial Conduct Authority will implement a series of rules to minimize instances of “greenwashing” in the U.K. market.
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News BriefTD Bank unit fined $600K by FINRA over email review lapses
TD Private Client Wealth agreed to pay a $600,000 penalty levied by the Financial Industry Regulatory Authority for allegedly failing to review millions of employee emails as required by the self-regulatory organization’s rules.