- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Equity Trustees announced the appointment of Nevein Versace as chief risk officer, effective Sep. 23.
Versace has most recently been acting general manager of compliance at HESTA. Her previous leadership roles include head of enterprise risk at Australian Super and chief risk officer (Australia) at Northern Trust.
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The Treasury Department’s Financial Crimes Enforcement Network released new anti-money laundering requirements for U.S. investment advisers and real estate professionals that attempt to close loopholes that criminals and kleptocrats have long exploited.
Raymond James & Associates and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority that it didn’t have an effective system to handle customer complaints, along with millions of direct mutual fund transactions not reasonably being supervised.
A subsidiary of Bank of America agreed to pay $3 million and take remedial measures to resolve allegations that its surveillance system didn’t detect manipulative trading, the Financial Industry Regulatory Authority said.
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