Search for: "OFFICE OF COMPLIANCE"
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17 Oct 2016, 11:07 am
On Oct. 17, 2016 at the National Society of Compliance Professionals 2016 National Conference in Washington, D.C., Marc Wyatt, Director of the SEC's Office of Compliance Inspections and Examinations delivered a keynote address entitled Inside the National Exam Program in... [read post]
13 Sep 2017, 11:22 am
A Baltimore-based, publicly-traded investment company seeks to hire an experienced general counsel, chief compliance officer, and secretary. [read post]
30 Nov 2020, 2:20 pm
On November 19, 2020, Peter Driscoll, director of the Office of Compliance Inspection and Examination (“OCIE”) of the Securities and Exchange Commission (“SEC”), gave a speech urging advisory firms to empower their Chief Compliance Officers (“CCOs”). [read post]
26 Jun 2022, 10:00 pm
Officials from the US Department of Justice over the past three months have repeatedly referenced the Department’s intention to include chief compliance officer certifications as part of corporate resolutions going forward. [read post]
26 Jun 2022, 10:00 pm
Officials from the US Department of Justice over the past three months have repeatedly referenced the Department’s intention to include chief compliance officer certifications as part of corporate resolutions going forward. [read post]
26 Jun 2022, 10:00 pm
Officials from the US Department of Justice over the past three months have repeatedly referenced the Department’s intention to include chief compliance officer certifications as part of corporate resolutions going forward. [read post]
26 Jun 2022, 10:00 pm
Officials from the US Department of Justice over the past three months have repeatedly referenced the Department’s intention to include chief compliance officer certifications as part of corporate resolutions going forward. [read post]
26 Jun 2022, 10:00 pm
Officials from the US Department of Justice over the past three months have repeatedly referenced the Department’s intention to include chief compliance officer certifications as part of corporate resolutions going forward. [read post]
26 Jun 2022, 10:00 pm
Officials from the US Department of Justice over the past three months have repeatedly referenced the Department’s intention to include chief compliance officer certifications as part of corporate resolutions going forward. [read post]
7 Apr 2020, 9:24 am
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued two risk alerts: Examinations that Focus on Compliance with Regulation Best Interest and Examinations that Focus on Compliance with…Read the Full Press ReleaseHave a securities law question? [read post]
7 Jul 2022, 9:01 pm
The SEC’s determinations about whether to charge a compliance officer are consequential not only for the particular compliance officer, but more generally for the profession. [read post]
13 Feb 2024, 7:51 am
Allyson Bouldon, ’90, Named Chief Ethics and Compliance Officer of Smithfield Foods ekinczewski Tue, 02/13/2024 - 09:51 Read more about Allyson Bouldon, ’90, Named Chief Ethics and Compliance Officer of Smithfield Foods Bladen Journal Smithfield Foods Names New Chief Marketing Officer and Chief Ethics and Compliance Officer [read post]
26 Apr 2013, 6:22 am
Events like this are an invaluable tool for regulators and market participants alike — not least of all because we get to see who the early frontrunners are for the next America’s Funniest Compliance Officer contest. [read post]
15 May 2009, 11:54 am
" Substitute "legal" for "compliance" and chief legal officers own the challenge. [read post]
26 Oct 2023, 4:35 am
We need to work together to create what I call a culture of proactive compliance. [read post]
23 Mar 2021, 9:35 am
White left Financial West Group in August 2017 to become a compliance officer at Western International Securities, Inc. in Pasadena, CA. [read post]
3 Aug 2015, 5:00 am
Most notably, among programs reporting directly to the CEO, those led by dual GC/Chief Compliance Officers are more effective than those led by standalone CCOs. [read post]
26 Dec 2010, 6:53 am
The role of the chief compliance (and ethics) officer is currently a hot, if confused topic. [read post]
8 Jun 2023, 6:53 pm
According to court documents and evidence presented at trial, Steven King was the chief compliance officer of a pharmacy holding company that fraudulently billed Medicare […] [read post]
12 Oct 2009, 2:26 pm
In a reminder to hospital executives and compliance officers everywhere, the former executive director and compliance officer for a California hospital has agreed to pay $64,000 to settle claims that he personally violated Stark laws when negotiating various physician financial arrangements. [read post]
