IACCP

West Chester Capital Advisors Expands Capabilities with New Staff Appointments

Retrieved on: 
Monday, October 23, 2023
WCCA, IACCP, Research, Senior, Trust, Mission Capital Advisors, CFA, Investment, AmeriServ Financial, Financial adviser, Management

JOHNSTOWN, Pa., Oct. 23, 2023 /PRNewswire/ -- West Chester Capital Advisors, Inc. (WCCA), a wholly owned subsidiary of AmeriServ Financial Bank and an SEC registered investment advisory firm, today announced several staff promotions.

Key Points: 
  • JOHNSTOWN, Pa., Oct. 23, 2023 /PRNewswire/ -- West Chester Capital Advisors, Inc. (WCCA), a wholly owned subsidiary of AmeriServ Financial Bank and an SEC registered investment advisory firm, today announced several staff promotions.
  • Previously, Mr. Ludy served as the Chief Compliance Officer for West Chester Capital Advisors where he was responsible for overseeing all compliance functions.
  • West Chester Capital Advisors' investment management and advisory services range from individual portfolio management to pension and profit-sharing plans for individuals and institutions, including bank and trust companies, charitable organizations, and government entities.
  • The combined years of experience of the advisors allows for delivery of personalized services through one-on-one consultations with a local investment firm.

ComplyConnect Conference & Expo announces agenda and speakers

Retrieved on: 
Tuesday, September 20, 2022
Omni, RET, CLE, ESG, FINRA, Woman, Bank OZK, Risk, Interest, EMK, GRC, CPE, NEW, Division, Compliance, Industry, Ranking, Test (assessment), Bank, LLP, U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, CFP, Technology, RIA, Solution, Box, Cryptocurrency, University, Financial adviser, United States Navy, Conference, NRS, SEC, Marketing, Multimedia, IACCP, Video game

NEW YORK, Sept. 20, 2022 /PRNewswire/ -- ComplySci, the leading provider of regulatory technology and compliance for the financial services sector and founding sponsor of the inaugural ComplyConnect Conference & Expo, announced today the event's full agenda and slate of speakers.

Key Points: 
  • and SEC Director Richard R. Best to serve as keynote speakers
    NEW YORK, Sept. 20, 2022 /PRNewswire/ -- ComplySci , the leading provider of regulatory technology and compliance for the financial services sector and founding sponsor of the inaugural ComplyConnect Conference & Expo,announced today the event's full agenda and slate of speakers.
  • "We are incredibly excited to have such a distinguished and well-rounded group of speakers for the first ComplyConnect Conference & Expo," said NRS President John Gebauer.
  • "NRS has been a long-standing leader in compliance education, which is why we are so pleased our annual fall conference has expanded and become part of ComplyConnect.
  • Learn more about the ComplyConnect Conference & Expo, including registration and agenda offerings, sponsorships opportunities and more at complyconnectexpo.com .

Deadline extended for inaugural ComplyConnect Conference & Expo award nominations

Retrieved on: 
Thursday, August 25, 2022
Omni, CPE, University, Technology, Division, CLE, CFP, RIA, NRS, PLLC, Financial adviser, Solution, IACCP, SEC, U.S. Securities and Exchange Commission, Multimedia, NEW, Compliance, Conference, Test (assessment), Risk, Financial Industry Regulatory Authority, GRC, Woman, Industry, FINRA, Television, Box

NEW YORK, Aug. 25, 2022 /PRNewswire/ -- ComplySci, the leading provider of regulatory technology and compliance for the financial services sector, announced today the extension of the deadline for the ComplyConnect Awards nominations to Sept. 16. The inaugural ComplyConnect Awards will honor compliance leaders and innovators within the regulatory compliance space, with categories including:

Key Points: 
  • The inaugural ComplyConnect Awards will honor compliance leaders and innovators within the regulatory compliance space, with categories including:
    ComplyConnect Awards nomination deadline extended to Sept. 16.
  • Award finalists will be announced in early October, with winners revealed on Nov. 9 during an awards reception at the inaugural ComplyConnect Conference & Expo in Austin, Texas.
  • The three-day ComplyConnect Conference & Expo will be held Nov. 8 - 10 at the Omni Barton Creek Resort & Spa in Austin, Texas.
  • Learn more about the ComplyConnect Conference & Expo, including registration, sponsorships and more at complyconnectexpo.com .

Inaugural ComplyConnect Conference & Expo brings together industry experts, examines top compliance and regulatory issues

Retrieved on: 
Thursday, July 7, 2022
Omni, Security, U.S. Securities and Exchange Commission, GRC, Financial adviser, FINRA, CPE, Division, Financial Industry Regulatory Authority, Industry, CLE, Compliance, CFP, Woman, Risk, Technology, Organization, Learning, Test (assessment), SEC, RIA, NEW, Solution, Box, IACCP, NRS, Multimedia, Conference, Video game, Audit

NEW YORK, July 7, 2022 /PRNewswire/ -- ComplySci, the leading provider of regulatory technology and compliance for the financial services sector, will be a founding sponsor of a new comprehensive regulatory and compliance event, ComplyConnect Conference & Expo. The three-day conference is already slated to include a keynote address from Security and Exchange Commission (SEC) Director of the Division of Examinations Richard R. Best and the presentation of the first annual ComplyConnect awards.

Key Points: 
  • ComplyConnect Conference & Expo provides three days of information-packed sessions, keynotes and networking opportunities for regulatory and compliance professionals
    NEW YORK, July 7, 2022 /PRNewswire/ -- ComplySci , the leading provider of regulatory technology and compliance for the financial services sector, will be a founding sponsor of a new comprehensive regulatory and compliance event, ComplyConnect Conference & Expo .
  • First-ever ComplyConnect conference and Expo provides three-days of sessions networking and educational opportunities.
  • Regulatory and compliance professionals, industry leaders and technology experts from across the U.S. will discuss current trends, industry best practices and the impact of recent SEC and Financial Industry Regulatory Authority (FINRA) regulations.
  • Regulatory and compliance professionals and stakeholders can nominate individuals and companies for:
    Nominations will be reviewed by a panel of industry-leading experts.

Inaugural ComplyConnect Conference & Expo brings together industry experts, examines top compliance and regulatory issues

Retrieved on: 
Thursday, July 7, 2022
Omni, Security, U.S. Securities and Exchange Commission, GRC, Financial adviser, FINRA, CPE, Division, Financial Industry Regulatory Authority, Industry, CLE, Compliance, CFP, Woman, Risk, Technology, Organization, Learning, Test (assessment), SEC, RIA, NEW, Solution, Box, IACCP, NRS, Conference, Audit

NEW YORK, July 7, 2022 /PRNewswire/ -- ComplySci, the leading provider of regulatory technology and compliance for the financial services sector, will be a founding sponsor of a new comprehensive regulatory and compliance event, ComplyConnect Conference & Expo. The three-day conference is already slated to include a keynote address from Security and Exchange Commission (SEC) Director of the Division of Examinations Richard R. Best and the presentation of the first annual ComplyConnect awards.

Key Points: 
  • ComplyConnect Conference & Expo provides three days of information-packed sessions, keynotes and networking opportunities for regulatory and compliance professionals
    NEW YORK, July 7, 2022 /PRNewswire/ -- ComplySci , the leading provider of regulatory technology and compliance for the financial services sector, will be a founding sponsor of a new comprehensive regulatory and compliance event, ComplyConnect Conference & Expo .
  • Regulatory and compliance professionals, industry leaders and technology experts from across the U.S. will discuss current trends, industry best practices and the impact of recent SEC and Financial Industry Regulatory Authority (FINRA) regulations.
  • Regulatory and compliance professionals and stakeholders can nominate individuals and companies for:
    Nominations will be reviewed by a panel of industry-leading experts.
  • Finalists will be announced in October and winners on Nov. 9 during the ComplyConnect Conference & Expo.

Aspiriant Names Seven New Partners in Los Angeles, San Francisco, San Diego, Austin and Cincinnati

Retrieved on: 
Tuesday, May 10, 2022
Compliance, Industry, IACCP, Sales, Financial services

LOS ANGELES, May 10, 2022 /PRNewswire/ -- Aspiriant, a leading independent wealth management firm, today announced that seven new partners have been elected to the firm's ownership group by the existing partners. The newly named partners, based across Aspiriant's key locations in Los Angeles, San Francisco, San Diego, Austin and Cincinnati, bring impressive track records, strong credentials and diverse backgrounds to further enhance the firm's culture and embody Aspiriant's commitment to serving high net worth families across the country. 

Key Points: 
  • LOS ANGELES, May 10, 2022 /PRNewswire/ -- Aspiriant, a leading independent wealth management firm, today announced that seven new partners have been elected to the firm's ownership group by the existing partners.
  • Aspiriant currently has 230 team members, 75 of whom are partners in the firm.
  • The seven new partners at Aspiriant include:
    Shanda Gentry , IACCP Managing Director, Compliance & Records, Chief Compliance Officer (Cincinnati)
    "We're thrilled to welcome this year's new class of partners," said Rob Francais, co-founder and chief executive officer of Aspiriant.
  • Aspiriant is a leading independent wealth management firm in the U.S. with more than $15 billion of assets under management and advisement.

Emily Zerbato named "2022 Chief Compliance Officer of the Year Award"

Retrieved on: 
Tuesday, May 3, 2022
Industry, Ernst & Young Entrepreneur of the Year Award, Compliance, SAN, IACCP, Company, Multimedia, Financial adviser

SAN DIEGO, May 3, 2022 /PRNewswire/ -- Dowling & Yahnke Wealth Advisors (the Firm), currently managing over $6.1 billion of assets for more than 1,400 clients, is proud to announce that Emily Zerbato has been named the winner of the "2022 Chief Compliance Officer of the Year Award" by Core Compliance and Starkweather & Shepley Insurance.

Key Points: 
  • SAN DIEGO, May 3, 2022 /PRNewswire/ -- Dowling & Yahnke Wealth Advisors (the Firm), currently managing over $6.1 billion of assets for more than 1,400 clients, is proud to announce that Emily Zerbato has been named the winner of the "2022 Chief Compliance Officer of the Year Award" by Core Compliance and Starkweather & Shepley Insurance.
  • "Part of being an effective Chief Compliance Officer, as well as having a strong compliance program, is understanding that it is not only about compliance, rather that success is found in establishing a corporate and company culture that echoes the importance and value of compliance.
  • Emily's talents and skill, partnered with Dowling & Yahnke Wealth Advisors' dedication to their clients and high ethical standards, only further cemented the selection of Emily Zerbato to be the 2022 Chief Compliance Officer of Year Award Winner," states Core Compliance and Starkweather & Shepley Insurance.
  • With her passion and dedication to the industry, Emily also earned her Investment Adviser Certified Compliance Professional (IACCP) designation.

Revelation Partners Expands Team with New Appointments Dr. Doug Fisher, Partner and Liz Staley, Chief Compliance Officer

Retrieved on: 
Tuesday, September 21, 2021
SVB Leerink, Financial adviser, Norwest Venture Partners, Compliance, Business administration, Eaton Vance, IACCP, Emmanuel College, Phi Beta Kappa, Siebel Scholars, University, Growth, Silicon, SAN, Siebel, Partner, MBA, Industry, Management

SAN FRANCISCO, Sept. 21, 2021 /PRNewswire/ --Revelation Partners, a healthcare investment firm that provides flexible capital solutions, announced today it is expanding its team with the appointments of Dr. Doug Fisher, as Partner and Liz Staley, as Chief Compliance Officer.

Key Points: 
  • SAN FRANCISCO, Sept. 21, 2021 /PRNewswire/ --Revelation Partners, a healthcare investment firm that provides flexible capital solutions, announced today it is expanding its team with the appointments of Dr. Doug Fisher, as Partner and Liz Staley, as Chief Compliance Officer.
  • As for Ms. Staley, she has managed Revelation Partners' compliance program since September 2014 through her prior roles at Leerink Capital Partners and Silicon Valley Bank.
  • With these appointments, Revelation Partners will continue to create customized solutions, which provide liquidity, align shareholders, and support the growth of privately held healthcare companies.
  • As the firm's newly appointed Chief Compliance Officer, Revelation Partners will bring "in-house" the compliance program services Ms. Staley has provided the firm since 2014 through her prior employers.