Thursday, 26 March 2015
Last updated 2 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
Mar 9 2015 | 6:35am ET
As more investors look to diversify, many are beginning to use retirement funds to invest in alternative assets such as private equity and real estate. Kelly Rodriques, CEO & President of PENSCO Trust Company, explains how companies can connect with those looking to use their retirement accounts in a different way. Read more…
Mar 20 2015 | 12:45pm ET
StreetWise Partners, a non-profit organization that works with low-income individuals to help them overcome employment barriers, raised over $275,000 at the 2015 Raising the Ante Charity Poker Tournament and Casino Event last Wednesday evening at Capitale. Here are some photos from the event. Read more…