But Meyer and his sharia compliance officer, Sheikh Yusuf DeLorenzo, say they have cracked the code.
The chief compliance officer and the chief operating officer for Westpark were suspended and fined as well.
The FSA banned and fined DDCM's compliance officer Sandradee Joseph in a related case in November 2011.
The in-house cops relayed the tip to the compliance officer at the Southwestern hospital where the alleged theft occurred.
This is an extension of a hymn I often sing: you as a compliance officer must understand your business.
Then a compliance officer can run a single search and produce all the consolidated records related to a regulatory request.
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He said senior executive Steve Ross had been appointed to the new position of client data compliance officer to review Bloomberg's policies.
Mexican authorities detained a branch manager, Pedro Alatorre, and a compliance officer, Amador Vazquez, saying they were under investigation for drug-money laundering.
Noa was appointed chief compliance officer of Siemens on January 1, after allegations of bribery and corruption became a full-on corporate scandal in 2006.
First, make sure you've been reimbursed for all your out-of-pocket medical costs, says Jody Dietel, chief compliance officer for WageWorks, a provider of FSAs.
As required, Columbia has directed funds to pay for an agreement compliance officer hired by the state and a tenants attorney to advise residents on evictions.
Steven Kessler, chief compliance officer of hedge fund SAC Capital Advisers, was lauded for his work in advancing the industry's interests in prime brokerage and securities-lending issues.
In one example of the changes, News Corp. in August named its general counsel, Gerson Zweifach, as its chief compliance officer, a position mandated in the settlement.
The simplest way to keep your accounts active is to vote your proxies, says Debbie Zumoff, chief compliance officer at Keane, a New York-headquartered unclaimed property consultancy.
Eliot Spitzer will lose New York's governor's race and, hat and shoes in hand, will go knocking on investment banking doors asking if anyone needs a compliance officer.
"It's not easy for a young compliance officer to take on a star broker or banker, " says Robert Iati, a research director at TowerGroup, a technology research firm.
Hassan created a new position, chief compliance officer, to end unethical or illegal practices and asked Brent Saunders, then at PricewaterhouseCoopers, to take the job, reporting directly to him.
In 1999 Millennium's former compliance officer accused Sitomer, Rome and another colleague of conspiring to force him out and to punish him by salting his termination statement with false information.
Their Form 990 shows that they have a chief financial officer, a chief of corporate compliance officer, a director of financial compliance, a director of litigation and a controller.
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Top Tier Capital Partners, a fund of funds, has named Sean Warren as chief compliance officer in a sign of the response of private equity to increasing regulation of the industry.
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The company was keen to highlight that it has strengthened its internal compliance rules in the last five years, including the creation of a new chief compliance officer role in 2010.
Indeed, Sullivan was not even a full-time compliance officer.
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Companies that register with FinCEN as money transmitters must hire a chief compliance officer, implement an anti-money-laundering program and alert authorities if they believe a transaction might be tied to suspicious activity.
The former chief compliance officer of Bernard L. Madoff Investment Securities was in court in Manhattan today and pleaded guilty to one count of conspiracy to commit securities fraud and one count of falsifying records.
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They argued that Peter Madoff, formerly chief compliance officer and senior managing director at his brother's firm, helped to create false and misleading documents to make it seem as though the company had an effective compliance programme.
So should a Chief Compliance Officer.
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With Redkite, if a compliance officer sees a stock price go up 17 percent in a minute and the tolerance is 7 percent, he can walk over to tap the head of trading and say John Smith has put the stock up 17 percent.
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In his sentencing memorandum he said that even though he was the Chief Compliance Officer of Madoff Securities and held other positions for decades, he was swindled by his elder brother, having no idea that he was sitting on top of a Ponzi scheme.
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Nester said the SEC has taken additional steps to enhance protections against "the potential for improper conduct, " including developing a new computer system to facilitate reporting and review of securities trading by all SEC personnel, hiring a chief compliance officer and providing greater clarity of rules governing the reporting of trades.
Bob Cortopassi, Accelerated Payment Technologies' compliance security officer, said the breach happened because of a "lack of basic security requirements" and isn't the fault of its payment system.
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