Sentences with phrase «chief compliance officer of»

«Traditional real estate investing is alive and well, although it's largely dependent on geography,» says Aaron Milledge, founding partner and chief compliance officer of Targeted Wealth Solutions, LLC.

«I don't think there's a risk to consumers in terms of credit reports that are ordered by employers,» Brad Landin, President and Chief Compliance Officer of Employment Screening Resources (ESR), a global background check firm located in the San Francisco area, told Bloomberg BNA in an interview about the Equifax data breach.

«I don't think there's a risk to consumers in terms of credit reports that are ordered by employers,» Brad Landin, president and chief compliance officer of Employment Screening Resources (ESR), a global background check firm located in the San Francisco Bay area, told Bloomberg BNA in an interview on September 8, 2017.

Brad Landin, president and chief compliance officer of Employment Screening Resources (ESR), who has over 25 years of experience in background screening industry compliance matters, was interviewed for the article.

Yegor Karatov, Chief Compliance Officer of Finom and Co-founder of Cryptonit comments the recent changes regarding the platform:

The panel, called Picking the Low - Hanging Fruit: Lessons in Getting Early Wins in Support of Enterprise Risk Management Goals, featured Chow, David Bowles, associate general counsel of UrtheCast, Richard Thomas, senior vice president and chief compliance officer of PI Financial, Mark Morrison, partner at Blake Cassels and Graydon LLP, and it was moderated by Andrew McLeod, partner at Blakes.

She previously served as Vice President and Chief Compliance Officer of Northrop Grumman Corporation, a $ 24B aerospace and defense company with 65,000 employees worldwide.

He subsequently served as vice president, legal and general counsel of Van Dyke Energy Company and assistant general counsel and chief compliance officer of a U.S. subsidiary of LUKOIL.

Elliot Miller is General Counsel and Chief Compliance Officer of Wowza Media Systems, a global leader in streaming video software and services.

Before joining Ares in 2011, Mr. Dell served as Chief Compliance Officer of Russell Investments and prior to his tenure at Russell Investments, he served in various roles at Fidelity Investments, including legal, compliance, institutional relationship management, and product development.

For the past 27 years, Craig has held in - house positions at various consumer finance companies, most recently serving as general counsel and chief compliance officer of Caliber Home Loans, Inc., a residential mortgage banking company.

Mr. Hodgson is also the Chief Compliance Officer of Alignvest Capital Management Inc. and Alignvest Investment Management Corporation.

Kirby Bartlett is the Managing Director, Chief Operations Officer, and Chief Compliance Officer of Sherpa Capital.

Scott M. Bilyeu is chief financial officer, chief operating officer, and chief compliance officer of Triangle Peak Partners, LP.

Mr. Perry has the unique tripartite experience of a white collar criminal defense and government compliance, investigations attorney at a national law firm; a senior enforcement attorney at a federal regulatory agency; and the Chief Compliance Officer of a global financial institution.

Prior to joining Starboard, Mr. Marlin was a Managing Director and the Chief Compliance Officer of Ivy Asset Management LLC.

Her most recent scholarship focuses on the changing role of the compliance officer and is based on interviews of over 70 general counsels and chief compliance officers of S&P 500 corporations.

Her most recent scholarship focuses on the changing role of the compliance officer and is based on interviews of over 70 general counsels and chief compliance officers of S&P 500 corporations (featured in Harvard Law School's The Practice click here).

Not exact matches

Prince is chief technology officer of Perimeter E-Security, a Milford, Conn. - based provider of compliance and information security systems to companies of all sizes.

I hold the position of Senior Vice President, General Counsel, Chief Compliance Officer & Corporate Secretary

Karen Maidment was chief financial and administrative officer of BMO Financial Group from 2007 to 2009, and was responsible for all global finance operations, risk management, legal and compliance, tax, communications and mergers and acquisitions.

Our Chief Executive Officer and each of our directors are currently in the applicable period to come into compliance with these requirements.

As to DOL's 60 - day deadline to respond, Scalia, who previously served as DOL's chief legal officer and is the son of the late Supreme Court Justice Antonin Scalia, told ThinkAdvisor that «We expect to seek a means fairly promptly to be resolved in advance of the [April] compliance deadline.»

Timothy Hauser, chief operating officer of DOL's Employee Benefits Security Administration, has warned broker - dealers and advisors at industry conferences to get in touch with DOL if they have questions about compliance.

Chief Compliance Officer, Senior Legal Officer and Senior Managing Director of Cerberus Capital Management

The Department of Labor plans to «push out guidance fairly shortly» to address questions about compliance with Labor's fiduciary rule, Timothy Hauser, chief operating officer of DOL's Employee Benefits Security Administration, said Monday.

He previously was a partner at the law firm of O'Melveny & Myers, a deputy general counsel at the U.S. Department of Homeland Security Department, and senior counsel at the Justice Department.John Roth joined the firm as chief compliance and ethics officer, with responsibility for ensuring that the company remains in compliance with the evolving legal landscape.

The culture of compliance at Franklin Templeton starts from the top, with support from senior management and oversight by the firm's Chief Complianccompliance at Franklin Templeton starts from the top, with support from senior management and oversight by the firm's Chief ComplianceCompliance Officer.

Combining investment research and portfolio management with direct client relationships, Mr. Roberts also served as the firm's Chief Compliance Officer from 2004 - 2016 and represents KF investors as a director or observer on the boards of several private venture companies.

S.H. «Jim» Fogleman, III is the Chief Financial Officer — Investment Services of Cherokee where he oversees fund - and investment - level financial reporting and compliance matters on behalf of the Cherokee private equity funds.

Investment Bank top manager Howard Bernstein is assuming the role of Chief Compliance Officer at Kraken.

[32] Statement of Commissioner Scott O'Malia, CFTC Final Rule, «Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants,» Federal Register, Vol.

[18] «Commodity Futures Trading Commission: Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants,» Federal Register, Vol.

Moody's also committed to fulfill a number of compliance measures, including separating commercial functions of its ratings business from the work of its ratings analysts and having its internal audit group report to the chief executive rather than the chief financial officer.

The additions of individual BSA and AML experts will allow Antoinette to assume full time duties as our Chief Compliance Officer while Karen Gifford will leverage her network to focus on external regulator relationships as Special Advisor of Global Regulatory Affairs.

Tony has also served as the Chief Compliance Officer since November 2013; prior to that he was the Vice President of Client Service.

Anthony W. Muhlenkamp President & Chief Compliance Officer — Client Service Team Educational Background: Mr. Muhlenkamp received a Bachelor of Science in Industrial Management, Mathematics and Economics from Carnegie Mellon University (CMU) in 1990.

«As a company operating at the intersection of technology and finance, it's imperative that we intimately understand our role as an innovator in a developing space,» Antoinette O'Gorman, Chief Compliance Officer at Ripple Labs, said.

itBit utilizes a proprietary AML / KYC program, overseen by our experienced Chief Compliance Officer, Erik Wilgenhof Plante, that incorporates the use of bank - grade compliance software and systems to continuously monitor our aCompliance Officer, Erik Wilgenhof Plante, that incorporates the use of bank - grade compliance software and systems to continuously monitor our acompliance software and systems to continuously monitor our activities.

This week, the SEC issued an order charging a registered investment adviser, along with its then - chief compliance officer, with breaching their fiduciary duties by failing to disclose a conflict of interest created by the outside business activity of one of the adviser's top - performing portfolio managers and failing to disclose a breach of the adviser's private investment policy by that portfolio manager.

This article provides a discussion of the SEC order and settlement, including the violations that the SEC claimed against the adviser and former chief compliance officer, then highlights the implications of the order for the hedge fund industry.

He was, however, deeply troubled that the SEC's Enforcement Division sought to hold both firms» chief compliance officers responsible under Rule 206 (4)-7, the so called «Compliance Rule» under the Investment Advisers Accompliance officers responsible under Rule 206 (4)-7, the so called «Compliance Rule» under the Investment Advisers AcCompliance Rule» under the Investment Advisers Act of 1940.

Cleary, 48, a deputy chief contracting officer with New York City's Department of Health and Mental Hygiene, will be Nassau's new $ 140,000 - a-year procurement compliance chief.

Christopher O'Brien, Cuomo's new director of special projects, was formerly the chief operating officer of Xerox Legal and Compliance Solutions.

On November 20, Mayor Bill de Blasio announced the appointment of Edna Wells Handy as Acting Chief Compliance Officer.

The lawsuit seeks to void the content of a memo drafted in February by Joshua Toas, chief compliance officer at SUNY RF, the university system's nonprofit research arm, which concluded that Dr. Haldar had shown «a reckless disregard for the rules and policies that govern our business.»

The agency has established an Executive Compliance Department for the first time in its history, with a Chief Compliance Officer responsible for compliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee cCompliance Department for the first time in its history, with a Chief Compliance Officer responsible for compliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee cCompliance Officer responsible for compliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee ccompliance training for NYCHA's employees, accuracy of external reporting and a providing an additional outlet for resident and employee complaints.

In this regard, the defence spokesman said, «the Chief of Defence Staff held a Briefing session with the Chief of Army Staff, Chief of Air Staff, the Theatre Commander and Senior Principal Staff Officers of the military high command at the Military Command and Control Centre on 1st August 2017, on the reviewed strategic direction and operational plans, in compliance to the directive of the Acting President.

However, Oyedepo told the court that there was a certificate from Fidelity Bank Plc bearing the authenticity of the document and that it was signed by one Bayo Ogunmolade, Chief Compliance Officer, Fidelity Bank Plc..

«We have heard concerns from employers of all size that a mandatory paid leave law, as proposed for New York, will impose significant compliance and staffing challenges,» said Heather Briccetti, President and Chief Executive Officer of The Business Council of New York State, Inc..