Search for: "OFFICE OF COMPLIANCE"
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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]
31 Oct 2023, 9:01 pm
Consider and address elevated risks of conflict of interest for compliance officers who wear multiple hats and whose activities may often fall outside the purview of traditional compliance work, such as compliance officers who also hold roles of general counsel, chief financial officer or chief investment officer. [read post]
3 Jun 2015, 11:03 am
A safety officer’s compliance order has been suspended where the cost of compliance would be so high that it could […] [read post]
19 Dec 2017, 4:15 pm
As part of my Committee’s review, I asked the Office of Compliance for a breakdown of the $17 million total amount that has been reported by their office for all cases involving claims of violations of the Congressional Accountability Act. [read post]
12 May 2015, 9:00 pm
A Rare Award The award is the first whistleblower award to be given to a compliance officer and is only the second awarded to an employee with audit or compliance responsibilities. [read post]
27 Jul 2021, 10:15 am
Restrepo was the firm’s Chief Compliance Officer (CCO) and Anti-Money Laundering Compliance Officer (AMLCO). [read post]
15 Jun 2022, 6:34 am
The role and responsibilities of the AML/CFT compliance officer. [read post]
10 Jul 2012, 10:10 am
Securities and Exchange Commission's Office of Compliance and Inspections, where she'll serve as chief counsel and chief compliance and ethics officer. [read post]
29 Apr 2010, 12:16 pm
FINRA announced today that it has permanently barred Tod Bretton, former Chief Compliance Officer and Head Trader for Prestige Financial, Inc., of New York, for engaging in a fraudulent trading scheme that generated approximately $1.3 million in profits for him... [read post]
3 Jun 2015, 11:03 am
A safety officer’s compliance order has been suspended where the cost of compliance would be so high that it could […] [read post]
30 Jun 2015, 12:59 pm
Chief Compliance Officers of Investment Advisers (CCOs) play an important and crucial role in fostering integrity in the securities industry. [read post]
7 Aug 2014, 7:00 am
The “message” behind the SEC’s Division of Trading and Markets’ recent guidance on supervisory liability is that the agency will not target compliance officers as the “guarantors” of their firms’ compliance. [read post]
9 Oct 2023, 9:05 pm
Food and Drug Administration has updated its infant formula compliance program for investigators, laboratory analysts and compliance officers. [read post]
13 Apr 2022, 11:07 am
Few investors know that brokerage firms must employ a professional called a “chief compliance officer (CCO). [read post]
12 Jan 2016, 4:50 pm
“This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations (“OCIE,” “we,” or “our”) of the Securities and Exchange Commission (“SEC” or “Commission”). [read post]
27 Sep 2007, 7:28 pm
Former senior vice president and legal compliance officer Rick Wolf lends expertise in legal compliance and information lifecycle management to H5 SAN FRANCISCO â€â [read post]
1 Mar 2022, 10:00 pm
While you are thinking about your organization’s SMART objectives and other key priorities you’ve identified for your ethics and compliance team, consider adding in these recommendations. [read post]
1 Mar 2022, 10:00 pm
While you are thinking about your organization’s SMART objectives and other key priorities you’ve identified for your ethics and compliance team, consider adding in these recommendations. [read post]
1 Mar 2022, 10:00 pm
While you are thinking about your organization’s SMART objectives and other key priorities you’ve identified for your ethics and compliance team, consider adding in these recommendations. [read post]
1 Mar 2022, 10:00 pm
While you are thinking about your organization’s SMART objectives and other key priorities you’ve identified for your ethics and compliance team, consider adding in these recommendations. [read post]
