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Chief Compliance Officers Administrative Appointments

Carlton Fields

SEC Commissioners Making a “Noisy Exit”

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Securities and Exchange Commission members Daniel M. Gallagher and Luis A. Aguilar will soon leave the SEC, but neither is keeping quiet about the SEC’s treatment of chief compliance officers (CCOs). Gallagher recently...more

Ballard Spahr LLP

Former CFPB Deputy Director joins Eastern Bank

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The American Banker reported earlier this week that Steven Antonakes, the former CFPB Deputy Director, has joined Eastern Bank in Boston as a senior vice president and chief compliance officer. According to the article, the...more

Ballard Spahr LLP

Recent Investment Management Developments - June 2015

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In This Issue: - SEC Proposes Changes to Reporting and Disclosure Obligations for Investment Companies and Advisers - SEC Charges Hedge Fund Executives and External Auditor for Improper Disclosure of Expense...more

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