New Hire Roundup: CFTC Names Goelman Enforcement Chief
Grace Vogel joined PwC’s financial services regulatory practice, and the Hedge Fund Association named three women to leadership positions.
SEC, FINRA Enforcement: Money Manager Fined for False Advertising
Also, FINRA hit Banorte-Ixe Securities for failure to act when a client with reported drug cartel ties made $28 million in transfers.
New Hire Roundup: U.S. Bank Wealth Management Welcomes Mook
This week in new hires, David Mook joined U.S. Bank Wealth Management, and Sterne Agee welcomed Robert Mohs to its Chicago office.
New Hire Roundup: FINRA Adds Three; Eichmann Goes to TheStreet
This week in new hires, FINRA added three new governors; Erwin Eichmann joined TheStreet as general counsel; and Putnam Investments named Darren Jaroch portfolio manager of another fund.
SEC: Senior Management and Boards That Fail to Support Compliance Face Most Scrutiny
Carlo di Florio, director of the SEC’s Office of Compliance Inspections and Examinations, said Tuesday that the SEC is bent on “elevating” the role of compliance by “underscoring that it is not a responsibility that stops at the desk of the CCO."