Wednesday, 23 July 2014
Last updated 10 hours ago
Sep 18 2012 | 6:16pm ET
Chicago-based compliance consultancy Simon Compliance has hired Mary M. McDonnell and UnBo (Bob) Chung to expand the firm’s services to include futures and broker-dealer compliance.
The positions—as senior consultants—are new.
McDonnell brings more than 30 years of experience in the futures, most recently as founder and chief executive officer of McDonnell & Associates. Prior to that, she was CEO of Geneva Trading and chairman and CEO of Como Asset Management. She held several executive leadership positions at the Chicago Board of Trade including as senior vice president and was executive vice president of the Bermuda Commodities Exchange.
Chung, who specializes in broker-dealer supervisory systems and procedures, was a senior regional counsel for the Financial Industry Regulatory Authority in the department of enforcement. Prior to that, he was a prosecutor for Cook County, Illinois, most recently in the special prosecutions bureau, government corruption and financial crimes unit, where he investigated and prosecuted complex financial crimes.
Simon Compliance was formed in 2010 by Lindsey H. Simon. The firm specializes in the investment adviser, broker-dealer and alternative investment industries including hedge funds, swap dealers, managed futures funds and other investment advisers
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…