Article: Brad Caswell, Former General Counsel & Chief Compliance Officer, Joins CounselWorks.

Article: Brad Caswell, Former General Counsel & Chief ...
Investment Weekly News;  November 14, 2009 ;     700+ words ... ... advisory firm to alternative investment firms, banks and broker/dealers, announced that Brad Caswell, former General Counsel & Chief Compliance Officer of DKR Oasis, has joined the Firm as a Managing Director. Mr. Caswell will work closely ...

Article: Compliance Officer's Forum: from opportunity to ...
Healthcare Financial Management;  March 1, 1998 ;     700+ words ... ... serving as your organization's compliance officer. Is this an opportunity or a curse ... Directors authorized the creation of a Compliance Officer's Forum, a special-interest ... organizations. Since the role of the compliance officer is still a unique assignment within ...

Article: Compliance Officer Sees Trend in Licensing Laws.(in ...
Origination News;  March 1, 2005 ;     700+ words ... ... 2005, according to Maria Greco, a compliance officer at MBS ProClose, which provides ... broker in 2005, according to the compliance officer. "There is a list of contracts ... advantage of their position," the compliance officer said. More regulation is also taking ...

Article: Compliance Officer Sees Trend in Licensing Laws.
Mortgage Line;  March 28, 2005 ;     700+ words ... ... 2005, according to Maria Greco, a compliance officer at MBS ProClose, which provides ... broker in 2005, according to the compliance officer. "There is a list of contracts ... advantage of their position," the compliance officer said. More regulation is also taking ...

Article: Salary.com(TM) and Ethics & Compliance Officer ...
Business Wire;  September 18, 2006 ;     700+ words ... ... and the Ethics & Compliance Officer Association (ECOA ... the 2006 Ethics & Compliance Officer Association Compensation ... Top Global Ethics and Compliance Officer. Organizations are continuing ...

Article: NASD Proposes Joint CEO/Chief Compliance Officer ...
PR Newswire;  June 4, 2003 ;     700+ words ... ... Executive Officer (CEO) and Chief Compliance Officer of each member firm to jointly certify ... the firm would designate a Chief Compliance Officer. Implementation of the CEO/Chief Compliance Officer certification would require approval ...

Article: Ask Jeeves, Inc. Appoints Online Compliance ...
PR Newswire;  June 27, 2005 ;     700+ words ...Online Compliance Officer to Enforce the Company's Consumer ... newly created position of Online Compliance Officer. Pickering, who reports to ... Jeeves, Inc. "The Online Compliance Officer will enable us to monitor the ...