All Finance articles – Page 39
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Blog
Store Capital adds compliance to general counsel’s title upon merger
With real estate investment trust Store Capital being acquired by GIC and Oak Street, Store announced General Counsel Chad Freed will be adding chief compliance officer to his duties.
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Blog
Libra Group names first chief risk, compliance officer
Libra Group, an international conglomerate, announced the appointment of Richard Blaksley as its first chief risk and compliance officer.
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Blog
OceanFirst Financial promotes principal accounting officer to CCO
OceanFirst Financial Corp. disclosed the appointment of Angela Ho as chief compliance officer for the company and OceanFirst Bank.
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OpinionAllianz case questions if DOJ encouraging scapegoating in individual liability push
Is the Department of Justice’s focus on individual accountability in white-collar crime cases encouraging companies to scapegoat their employees? A recent court filing in a $6 billion corporate fraud case could give company officers some sleepless nights.
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PremiumStudy: Healthcare overtakes finance as most breached industry in 2022
Healthcare organizations were under attack more than ever by cybercriminals in 2022, overtaking finance as the most breached industry, according to the latest analysis from Kroll.
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News BriefSEC examiners flag deficiencies in Reg BI compliance
The Securities and Exchange Commission issued a risk alert listing deficiencies its examiners found in broker-dealers’ compliance with Regulation Best Interest.
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Wellings Capital unit appoints chief compliance officer
Wellings Real Estate Income Fund announced the appointment of Adrienne Hart as chief compliance officer.
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Kain Capital names chief compliance officer
Private equity firm Kain Capital announced the appointment of Bret Cummings as chief financial officer and chief compliance officer.
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News BriefSEC seeks to revive Dodd-Frank rule on conflicts in securities trading
The Securities and Exchange Commission resurrected an unfulfilled mandate of the Dodd-Frank Act that would prevent the sale of certain securities if there is a conflict of interest.
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Blog
CCO of Apollo units to depart
MidCap Financial Investment Corp. and Apollo Debt Solutions BDC will be searching for new compliance leadership following the resignation of Chief Compliance Officer Isabelle Gold.
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Blog
FINRA enforcement head to depart, acting successor announced
The Financial Industry Regulatory Authority announced longtime Head of Enforcement Jessica Hopper will depart Feb. 3.
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Blog
Marygold Companies tasks CCO with leading fintech subsidiary
Global holding firm The Marygold Companies announced the appointment of Timothy Rooney to head the company’s financial technology startup, Marygold & Co.
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Blog
Alpine Investors appoints general counsel, CCO
Alpine Investors announced the appointment of Alexandria Stuart as general counsel and chief compliance officer.
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News BriefBloomberg to pay $5M for misleading disclosures about rate calculations
Bloomberg Finance agreed to pay $5 million to settle Securities and Exchange Commission charges alleging misleading disclosures it made about how it calculated the valuations it provided on fixed-income securities to the financial services industry.
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News Brief
Moors & Cabot to pay $1.9M for conflict of interest disclosure lapses
Investment adviser Moors & Cabot reached a $1.9 million settlement with the Securities and Exchange Commission over allegations the firm didn’t fairly disclose conflicts of interest associated with incentive payments it received from two unaffiliated clearing brokers.
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Blog
Fitch Ratings CCO promoted to general counsel
Fitch Group, a provider of financial information services, announced the appointment of Bruce Legorburu as general counsel. Heather Merrigan replaces Legorburu as chief compliance officer for Fitch Ratings.
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News BriefFINRA focuses on financial crime in annual exam report
The Financial Industry Regulatory Authority’s annual report on examinations and risk monitoring indicated a new emphasis for the regulator on combating financial crime, particularly cybercrime.
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ArticleFinCEN report identifies financial trends of Russian oligarchs
The Financial Crimes Enforcement Network published an analysis of financial trends involving Russian oligarchs and how U.S. financial institutions have aided in the identification of more than $30 billion worth of sanctioned Russians’ assets.
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ArticleSEC fines PNC unit over municipal bond disclosure lapses
Broker-dealer PNC Capital Markets agreed to pay nearly $200,000 and be censured to resolve Securities and Exchange Commission allegations it violated rules related to limited offerings of municipal securities.
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Article‘Period of uncertainty’ projected as U.K. embarks on ‘Edinburgh Reforms’
The “Edinburgh Reforms” aim to establish a smarter regulatory framework for the United Kingdom that is agile, less costly, and more responsive to emerging trends. Experts weigh in on the proposed changes.