The AMF publishes a summary of the internal procedures used by asset management firms for ESG/SRI funds to ensure adherence to non-financial contractual commitments
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Sound Point Capital hires Chief Compliance Officer from Cowen Investment Management
Andrea Sayago has been appointed as the new Chief Compliance Officer and Associate General Counsel at Sound Point Capital Management (“Sound Point”), a credit-focused firm with more than $30 billion in assets….
Barclays hires new CCO from HSBC – Kirsty Everett to move in July pending regulatory approval
Kirsty Everett has been named chief compliance officer and a member of the group executive committee of Barclays, pending approval by the UK FCA. Kirsty joins from HSBC, where she served as…
The manufacturer and distributor of cashless payment systems Cantaloupe, Inc., formerly known as USA Technologies, Inc., has been subject to a cease-and-desist order from the US SEC
The Securities and Exchange Commission (SEC) has taken action against Cantaloupe, Inc., formerly known as USA Technologies, Inc., a company engaged in the manufacturing and distribution of cashless payment devices. The SEC’s…
Singapore MAS – Enhancing Safeguards for Proper Conduct of Digital Prospecting and Marketing Activities – This consultation closes at 11.59 PM on 30 June 2023.
Singapore financial regulator MAS seeks feedback on their proposals to enhance safeguards for proper conduct of digital prospecting and marketing activities, and address conduct risks and issues associated with these activities. See…
Singapore MAS – Proposed Amendments to Payment Services Regulations 2019, Notices issued under the Payment Services Act 2019 or MAS Act, and Proposed New Regulations on Exemptions for a Specified Period – This consultation is closed.
MAS has proposed amendments to the Payment Services Regulations 2019 and existing notices applicable to payment service providers, as well as new proposed regulations on exemptions for a specified period. MAS invites…
French financial regulator the AMF fines Melanion Capital and its manager for breaches of professional obligations
In its decision of 24 April 2023, the Enforcement Committee handed down a warning and a fine of €200,000 to the portfolio asset management company Melanion Capital, and a warning and a fine of €150,000 to its manager, Mr Jad Comair.
Owner of Consumer Brands Including BrewDog, Canyon Bicycles and disruptor Bank Revolut, appoint CCO as MD
TSG Promotes Drew Weilbacher to Managing Director
ZoomInfo Appoints Tomer Gershoni as Their First Chief Security Officer
ZoomInfo Appoints Tomer Gershoni as First Chief Security Officer
US Card Payments Processing firm Zeta Expands Leadership Team with Appointment of former WorldPay/FIS CCO Karla Booe
Karla Booe has been appointed as the new Chief Compliance Officer at credit card processing firm Zeta.