All Finance articles – Page 38
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USAA expands ESG head’s role to include DEI
USAA announced recently appointed head of environmental, social, and governance Tara Leweling will serve in an expanded role as vice president, chief diversity and sustainability officer.
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Blue Wolf promotes interim CFO to chief financial, compliance officer
Blue Wolf Capital Partners, a New York-based private equity firm, announced the appointment of Eve Gerriets Mongiardo to chief financial officer and chief compliance officer.
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Perceptive Advisors fined $1.5M for SPACs conflicts, disclosure violations
Perceptive Advisors agreed to pay $1.5 million for allegedly steering clients toward special purpose acquisition companies its investment advisers had financial interests in and failing to disclose those conflicts in a timely fashion.
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Aventura Capital to pay nearly $1M over conflict disclosure lapses
Florida-based investment firm Aventura Capital Management agreed to return more than $700,000 to harmed investors and pay a $225,000 fine for failing to disclose conflicts of interest regarding its mutual fund share class selection process.
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Blockify names chief legal, compliance officer
Financial technology company Blockify announced the appointment of Marcos Kraemer as chief legal and compliance officer.
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Xactus names general counsel, chief compliance officer
Xactus, a credit score verification company serving the mortgage industry, announced the appointment of Ross Gloudeman as general counsel and chief compliance officer.
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ArticleEU countries take varied approaches to combating greenwashing
European regulators are taking greater steps to clamp down on companies’ misleading ESG claims, but experience shows different countries have differing priorities about tackling dishonest marketing.
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ArticleWise fined $360K for AML failures in Abu Dhabi
International money transfer company Wise will pay a $360,000 penalty for failing to abide by Abu Dhabi’s anti-money laundering rules over a two-year period, the Financial Services Regulatory Authority of Abu Dhabi Global Market announced.
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Deutsche Börse appoints chief compliance officer
Germany-based financial and transaction services provider Deutsche Börse announced the appointment of Marc Peter Klein as chief compliance officer, effective Jan. 1, 2023.
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ArticleJudge OKs Robinhood $20M data breach settlement
Online stock trading platform and broker-dealer Robinhood Financial moved closer to paying $20 million as part of a class-action settlement with thousands of customers whose accounts were allegedly accessed by unauthorized users.
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Sound Point appoints chief compliance officer
Asset management firm Sound Point Capital Management announced the appointment of Andrea Sayago as chief compliance officer and associate general counsel.
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CIFC Asset Management appoints chief compliance officer
CIFC Asset Management, an alternative credit specialist, announced the appointment of Lily Wicker as managing director, chief compliance officer and associate general counsel.
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ArticleCybersecurity, beneficial ownership lessons found in SEC fraud case
Charges levied by the Securities and Exchange Commission regarding an international scheme in which hackers accessed online brokerage accounts to manipulate stock prices impart cybersecurity and beneficial ownership lessons for compliance professionals.
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ArticleIFP Advisors fined $400K for supervision failures in ex-rep’s ‘cherry-picking’ scheme
The Securities and Exchange Commission settled charges against Florida-based investment adviser IFP Advisors and its former representative relating to a multiyear “cherry-picking” scheme.
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ArticleSEC, CFTC propose large hedge funds provide more financial disclosure
The SEC and CFTC proposed expanding Form PF disclosure requirements for large hedge funds to include more information on their investment strategies, investment exposure, open positions, and borrowing arrangements with counterparties, among other areas.
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ArticleMorgan Stanley reaches $200M agreement over unauthorized electronic messages
Morgan Stanley has reached agreements in principle totaling $200 million with the SEC and CFTC to settle charges its employees used messaging platforms not approved by the financial services company.
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ArticleRoundup: Goldman Sachs, Citi, Robinhood disclose regulatory investigations
Goldman Sachs Group, Citigroup, and Robinhood Markets each issued quarterly filings disclosing regulatory investigations they are respectively facing into varied business practices.
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Blackstone names CCO for secured lending, private credit funds
Blackstone announced the appointment of William Renahan to chief compliance officer for its secured lending and private credit funds.
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BlueOnion adds chief sustainability officer
Financial technology firm BlueOnion, a subsidiary of WealthAsia, announced the appointment of Jeanne Ng as chief sustainability officer.
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IDIQ names chief compliance officer
IDIQ, an identity theft protection and credit reporting monitor, announced the appointment of Beth Cheeseman Kearney as general counsel and chief compliance officer.