All Chief Compliance Officer articles
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PremiumThe road from CCO to board: What compliance professionals need to know
Chief compliance officers and chief ethics and compliance officers desire progressing to the board more than any other role change, our “Inside the Mind of the CCO” survey found. So, what does it take for compliance to get on a corporate board?
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Blog
Orion Group Holdings names general counsel, CCO
Construction company Orion Group Holdings announced the appointment of Edward Chipman Earle as executive vice president, general counsel, chief administrative officer, chief compliance officer, and corporate secretary.
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LPL Financial names chief compliance officer
LPL Financial announced the appointment of Jim McHale as executive vice president and chief compliance officer.
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Modern Wealth Management appoints chief compliance and legal officer
Modern Wealth Management announced the hiring of J.P. Rankin as chief compliance and legal officer.
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EuroAPI appoints chief legal, compliance officer
Pharmaceutical ingredients company EuroAPI announced the appointment of Marion Santin as chief legal, compliance, and IP officer, as part of its executive committee.
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PremiumBinance’s compliance past, future detailed
There are a slew of compliance lessons to be learned from the $4.3 billion settlement that Binance, the world’s largest cryptocurrency exchange, reached with the U.S. government.
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KWESST names corporate controller as chief compliance officer
Technology company KWESST Micro Systems appointed its Corporate Controller Kris Denis as chief compliance officer.
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PremiumInside the Mind of the CCO: Compliance feeling regulatory heat in 2023
Our fifth annual “Inside the Mind of the CCO” survey saw keeping up with regulatory policies dethrone resource support as the biggest concern among all respondents for the first time.
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News BriefBinance pleads guilty, fined $4.3B over widespread U.S. law violations
Federal agencies hit Binance with more than $4.3 billion in penalties and imposed multiple compliance monitorships on the virtual currency exchange as punishment for its repeated and intentional violations of U.S. anti-money laundering laws, sanctions, and other regulations.
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News BriefCCO jailed 4 1/2 years for role in $50M Medicare fraud
The chief compliance officer of a defunct pharmacy holding company was sentenced to 4 1/2 years in prison after being found guilty of conspiracy to commit healthcare fraud and wire fraud earlier this year.
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FLA adds Admiral Money risk and compliance chief to board
The U.K.-based Finance & Leasing Association appointed Admiral Money’s Chief Risk and Compliance Officer Emma Powell to its board of directors.
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Performance Trust names general counsel, promotes CCO
Performance Trust Capital Partners announced the addition of Jenn Docherty as general counsel and promotion of Krissy Love to chief compliance officer.
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The Aspen Group announces chief legal and compliance officer
The Aspen Group, a healthcare provider, announced the appointment of Hyung Bak as chief legal and compliance officer.
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SEKO Logistics announces chief compliance officer
SEKO Logistics, a supply chain solutions provider, announced the promotion of Lila Landis to global chief compliance officer.
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Cox Enterprises names chief compliance and privacy officer
Cox Enterprises announced Amber Hall has been named its chief compliance and privacy officer.
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IDEOlogy Health appoints chief compliance officer
Medical education company IDEOlogy Health announced the appointment of Sandra Park as general counsel and chief compliance officer.
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News BriefSEC adopts rule requiring security-based swap execution facilities register, name CCO
The Securities and Exchange Commission approved new regulations for security-based swap execution facilities, part of the agency’s steady progress in implementing languishing rules from the Dodd-Frank Act.
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News BriefSEC charges president, CCO of Prophecy Asset Management with fraud
The president and chief compliance officer of investment adviser Prophecy Asset Management misled investors about more than $350 million in losses while pocketing millions in management and incentive fees, according to the Securities and Exchange Commission.
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Amarin names chief legal and compliance officer
Pharmaceuticals company Amarin Corp. announced the appointment of Jonathan Provoost as executive vice president, chief legal and compliance officer.
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PodcastDigital Transformation of Compliance podcast: Ryder CCO Pilar Caballero
In this episode of the Digital Transformation of Compliance podcast series, Pilar Caballero, chief compliance officer and chief privacy officer at Ryder, discusses her company’s process for vetting privacy concerns regarding use of new technologies.