All Finance articles – Page 63
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Nasdaq names chief risk officer
American stock exchange Nasdaq announced Roland Chai will join the executive leadership team as chief risk officer.
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CAN Capital appoints general counsel, CCO
Financial services firm CAN Capital announced the appointment of Edward Dietz as chief compliance officer and general counsel.
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Archax adds chief compliance officer
London-based digital securities exchange Archax announced it has appointed Alex Royle as its chief compliance officer.
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Barings names principal accounting officer
Investment management firm Barings BDC announced the board of directors has appointed Elizabeth Murray as the company’s principal accounting officer.
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ArticleCFPB stirs controversy with enforcement head hire
The Consumer Financial Protection Bureau has faced the ire of the House Financial Services Committee regarding its hiring of former DOJ employee Thomas Ward to lead its enforcement efforts.
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Syncora Holdings general counsel stepping down
Syncora Holdings has announced the departure of general counsel and secretary James Lundy, following the adoption of a plan of liquidation of the company at a special general meeting of shareholders.
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Allianz promotes new compliance chief
Allianz Holdings has appointed Margo Young as chief compliance officer. Young replaces Ann Alexander, who recently retired from the business.
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Gemini tabs CCO for European expansion
Gemini Europe, the U.K. and European affiliate of cryptocurrency exchange Gemini Trust Company, announced the appointment of Blair Halliday as chief compliance officer and money laundering reporting officer.
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ArticleSix strategies for FinTech adoption in banking
Thomas Wan of the International Compliance Training Academy outlines strategies for navigating the dynamic terrain of FinTech adoption within the banking industry.
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E*TRADE names chief risk officer
E*TRADE Financial Corp. announced Brent Simonich will assume the chief risk officer role after Paul Brandow advised the company of his decision to retire, following over a decade of service to the firm.
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Great Rock tabs chief risk officer
Commercial finance company Great Rock Capital announced Kathleen Auda has joined the firm as chief risk officer.
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ArticleLawmakers push for FTC probe into Envestnet data sales
Democratic Sens. Ron Wyden and Sherrod Brown and Rep. Anna Eshoo sent a letter to the Federal Trade Commission urging the agency to investigate Envestnet’s selling practices regarding consumer financial data.
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B. Riley Wealth Management tabs general counsel, CCO
B. Riley Wealth Management, a subsidiary of B. Riley Financial, announced the appointment of Michael Markunas as general counsel and chief compliance officer.
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ArticleFRC calls for better reporting to improve trust
U.K. regulator the Financial Reporting Council’s annual review shows many of Britain’s largest companies use a “tick-box” approach to compliance with the U.K. Corporate Governance Code—often providing scant explanations and little detail.
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Wells Fargo adds enterprise risk chief
Financial services giant Wells Fargo announced Price Sloan will join the company as chief strategic enterprise risk officer.
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ArticleUK Finance slams overregulation in financial services sector
UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.
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ArticleSwiss firm, owner face charges in stock manipulation scheme
The SEC and DOJ have separately announced charges against a Swiss asset management firm and several individuals for engaging in a long-running stock manipulation scheme involving numerous U.S. issuers. The charges resulted from a failed attempt to circumvent disclosure requirements imposed by securities laws.
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ArticleUBP to pay additional $14M for hidden accounts
Union Bancaire Privée (UBP), a Swiss private bank, must pay an additional $14 million to the U.S. government for accounts it failed to disclose in an addendum to a non-prosecution agreement reached with the Department of Justice four years ago.
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Hong Kong’s SFC fines RHB Securities Hong Kong $6.4M
Hong Kong’s Securities and Futures Commission has fined RHB Securities Hong Kong $6.4 million for failing to comply with regulatory requirements on conflicts of interest and supervision of account executives.
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The Bancorp names new compliance, risk chiefs
The Bancorp, a service provider for non-bank financial service companies, announced the addition of Michael Althouse as chief compliance officer and Keith Owes as chief risk officer.