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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2015-02-06T09:30:00
Wells Fargo Advisors, with $1.4 trillion in client assets, has named Jim McHale as chief compliance officer. His appointment follows an administrative proceeding instituted by the Securities and Exchange Commission in October against Wells Fargo's former compliance officer for allegedly altering a document before it was provided to the SEC ...
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2024-06-27T18:12:00Z By CW Staff
Cetera Financial Group announced that Gwen Weithaus has been named chief compliance officer for Cetera Investment Services.
2024-06-20T14:52:00Z By CW Staff
Middle-market private equity firm HGGC announced it has named Rachel Stock as general counsel and chief compliance officer.
2024-06-18T17:26:00Z By CW Staff
Crowell & Moring announced that Christopher Mendez, former general counsel and chief compliance officer at Commonwealth Asset Management, has joined its financial services group as senior counsel.
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