Sentence examples for former compliance from inspiring English sources

THE day after Thanksgiving, Edward A. H. Siedle, a former compliance director at Putnam Investments, received a disturbing phone call.

In May, a former compliance officer at Morgan Stanley, Randi E. Collotta, and her husband, Christopher K. Collotta, pleaded guilty to insider-trading charges in an unrelated case.

At one point, according to the lawyer, Mr. Kelleher even said Putnam would go after Mr. Siedle's home if the former compliance director breached the agreement.

Sue Shelley, the former compliance chief in Luxembourg, began her career at Midland Bank in Liverpool when she was a teen-ager, ripping up old checkbooks.

By issuing a subpoena to Mr. Siedle, Mr. Spitzer may hope to learn what the former compliance director can tell him about practices of Putnam fund managers and executives going back to the late 1980's.

In Alabama, especially, the former compliance director and the university law professor who advised finding out what the athletic program had done wrong and reporting it to the N.C.A.A. have been vilified since the sanctions came down.

Fresenius hired John Markus, a former regulations compliance executive at Oxford Health Plans, to head the new integrity program.

William A. Iommi Sr., a former chief compliance officer, was suspended for 90 days and fined $15,000.

The company's former chief compliance officer and two former analysts were fined and suspended from the securities industry.

Among them: an architect, an entrepreneur, a career coach, a professor of organizational behavior, an ESL teacher, a physician, a software developer, and a former bank compliance officer.

Ward, Marty Mankamyer, the Olympic committee's president, and Rachel Godino, chairwoman of its athletes advisory council, will be witnesses, along with Patrick Rodgers, the U.S.O.C.'s former ethics compliance officer.