Bringing you live news and features since 2013
Bringing you news, views and analysis since 2013
shaking hands

9861

CBOE Holdings appoints Alexandra Albright as chief compliance officer

RELATED TOPICS​

CBOE Holdings has appointed Alexandra M Albright in the newly created role of Chief Compliance Officer (CCO) for its affiliated exchanges – the Chicago Board Options Exchange (CBOE), C2 Options Exchange (C2), CBOE Futures Exchange (CFE) and CBOE Stock Exchange (CBSX). 

Albright, who will assume the CCO position on April 23, will report to President and COO Edward T. Tilly and to the regulatory oversight committees of the exchanges. 

Albright’s broad responsibilities include establishing, implementing and maintaining policies and procedures that apply to the affiliated exchanges’ self-regulatory organization obligations, and ensuring that exchange operations comply with both the exchanges’ rules and policies and with SEC and CFTC regulations and laws. Her other responsibilities include educating exchange employees about compliance-related issues.
CBOE’s Regulatory Services Division will continue to oversee compliance by exchange Trading Permit Holders with regulatory obligations. 

"We are pleased to have Alexandra at the helm of our compliance efforts,” says Chairman and CEO William J Brodsky. “Her in-depth knowledge of securities markets and her legal experience in both market regulation and the corporate sector will be invaluable in assuring that our exchanges fulfil their obligations as self-regulatory organisations.”

Albright served from 2007 to present as an attorney for Kirkland & Ellis LLP in Chicago, most recently concentrating on compliance, litigation and corporate finance matters. 

From 2001 to 2006, she served in senior legal positions with the Securities and Exchange Commission (SEC) in Washington, DC: Senior Counsel for the Division of Enforcement, Office of Market Surveillance, from 2005 to 2006; Special Counsel for the Division of Trading & Markets, Office of Trading Practices, from 2003 to 2005; and Attorney Advisor for the Division of Trading & Markets, Office of Municipal Securities, from 2001 to 2003.

Albright holds a BA in philosophy from Tulane University, a JD from University of Denver College of Law, and an LLM, with honours, in Financial Services Law, from Chicago-Kent College of Law

 

Latest News

EFAMA has commented on today’s vote by the European Parliament in favour of a new..
Morgan Stanley Investment Management (MSIM) has announced the launch of the MS INVF Systematic Liquid..
Confidence in the continuing strength of bitcoin and Ethereum is driving wider interest in altcoins..

Related Articles

Juan Nozal, Mapfre Asset Management
Juan Nozal, Fixed Income Portfolio Manager at MAPFRE Asset Management, talks about the outlook for fixed income assets over 2024, in what he predicts will be an outstanding year for this asset class...
Juan Nozal, Fixed Income Portfolio Manager at MAPFRE Asset Management, talks about the outlook for fixed income assets over 2024,..
n response to the increased attention to climate change risk, institutional investors, asset managers, and asset owners in the US are committed to implementing a variety of measures to address climate change and reach their net-zero goals, according to Cerulli Associates...
n response to the increased attention to climate change risk, institutional investors, asset managers, and asset owners in the US..
Lord Hollick, House of Lords
A House of Lords committee has raised “significant concerns” over the role of UK regulators, their ability to operate with genuine independence from government and how they are held to account...
A House of Lords committee has raised “significant concerns” over the role of UK regulators, their ability to operate with..
Rob Edwards, Morningstar
The complexities of assessing performance from responsible investment strategies have been laid bare after Morningstar’s ESG indices delivered a mixed bag in 2023...
The complexities of assessing performance from responsible investment strategies have been laid bare after Morningstar’s ESG indices delivered a mixed..
Subscribe to the Institutional Asset Manager newsletter

Subscribe for access to our weekly newsletter, newsletter archive, updates on the site and exclusive email content.

Marketing by