All Finance articles – Page 55
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ArticleMerrill Lynch to pay $7.2M to customers overcharged for mutual funds
Merrill Lynch will pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions, FINRA announced.
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Crypto.com appoints chief compliance officer
Crypto.com, a cryptocurrency platform, announced the appointment of Antonio Alvarez as chief compliance officer.
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CNO Financial tabs chief risk officer
Financial services holding firm CNO Financial Group announced the appointment of Karen DeToro as chief risk officer, in addition to her current duties as chief actuary.
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GCM Grosvenor adds chief risk officer
GCM Grosvenor, one of the world’s largest independent alternative asset management firms, announced the appointment of Amy Wierenga as chief risk officer..
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ArticleUSBI to pay $16M for breaches of fiduciary duty
U.S. Bancorp Investments, a dually registered investment adviser and broker-dealer, has agreed to pay $16 million to settle SEC charges for breaches of fiduciary duty arising out of its mutual fund share-class selection practices.
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Contis tabs general counsel, risk chief
FinTech payments services firm Contis announced the appointment of Lara Oyesanya as its first general counsel and chief risk officer.
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ArticleFinCEN advisory details coronavirus risks for financial industry
The Financial Crimes Enforcement Network has issued what it says is the first of several advisories concerning financial crimes related to the COVID-19 pandemic.
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ArticleAres Management to pay $1M for compliance failures
Ares Management will pay a $1 million civil penalty to resolve charges by the SEC that it failed to implement and enforce policies and procedures reasonably designed to prevent the misuse of material nonpublic information.
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Libra adds former FinCEN head as general counsel
Fledgling digital currency group the Libra Association announced the appointment of former FinCEN and OFAC Director Robert Werner as general counsel.
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Green Dot adds chief risk officer
Green Dot Corp., a FinTech and bank holding firm, announced the appointment of Philip Lerma as senior vice president and chief risk officer.
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New York Life names general counsel
New York Life Insurance Company announced it has appointed Natalie Lamarque as general counsel.
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ArticleMorningstar to pay $3.5M for conflicts of interest violations
Morningstar Credit Ratings has agreed to pay $3.5 million to settle SEC charges for violating a conflict of interest rule designed to separate credit ratings and analysis from sales and marketing efforts.
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ArticleAnalysis: Fraud in Germany propels new European AML plan
Financial crime expert Martin Woods reviews the “cum-ex” scandal and how a recent action plan from the European Banking Authority aims to help stop such schemes from burgeoning.
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ArticleSEC charges Ambassador Advisors compliance chief for breaching fiduciary duties
The SEC charged Ambassador Advisors and its principals—including its chief compliance officer—with breaches of fiduciary duty arising out of its mutual fund share-class selection practices.
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Allianz names new chief risk officer
Allianz Holdings, the holding company for international financial services provider Allianz, announced the appointment of John Berry as chief risk officer.
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Wedbush welcomes chief compliance officer
Financial services and investment firm Wedbush Securities announced the appointment of Michael McMaster as senior vice president and chief compliance officer.
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Athene adds chief risk officer
Retirement services company Athene Holding announced Doug Niemann has been appointed executive vice president and chief risk officer.
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Kickstarter adds general counsel from Uber
Crowdfunding platform Kickstarter has appointed Nicole Benincasa as general counsel. Benincasa spent seven years at Uber, serving as senior counsel, global safety since September 2019.
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Menlo Ventures welcomes general counsel
Silicon Valley venture capital firm Menlo Ventures announced the appointment of Deborah Carrillo as general counsel.
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Robinhood appoints new legal chief
Popular investment app Robinhood announced Dan Gallagher will join the company as chief legal officer.