internal audit

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  New Hire Roundup: U.S. Bank Wealth Management Welcomes Mook

  By Marlene Y. Satter, AdvisorOne  |  March 6, 2013

  This week in new hires, David Mook joined U.S. Bank Wealth Management, and Sterne Agee welcomed Robert Mohs to its Chicago office.

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  New Hire Roundup: FINRA Adds Three; Eichmann Goes to TheStreet

  By Marlene Y. Satter, AdvisorOne  |  August 16, 2012

  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.

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  SEC: Senior Management and Boards That Fail to Support Compliance Face Most Scrutiny

  By Melanie Waddell, AdvisorOne  |  January 31, 2012

  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."