- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Wealth management firm Cresset announced that it has hired Amy Hong as chief compliance officer and executive managing director.
Most recently, Hong served as managing director, Asset & Wealth Management Operations, with JPMorgan Chase & Co., and before that First Republic Bank.
She has also served as chief compliance officer with Personal Capital Advisors Corporation, and as vice president, compliance, with Voya Investment Management.
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The U.K. Financial Conduct Authority is pushing back the date for some firms to comply with its naming and marketing rule amid struggles to prepare for it, the FCA said Monday.
Nine investment advisers will pay a total of $1.24 million to settle allegations that they violated the Securities and Exchange Commission’s marketing rule by disseminating advertisements with untrue or misleading information.
Info-Tech Research Group has appointed Ryan Huggett to the role of chief legal officer.
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