Compliance Reporter has announced the winners of its 3rd Annual Achievement in Regulatory Compliance (ARC) Awards.
David DeMuro, global head of compliance and regulation at Lehman Brothers, was named Compliance Person of the Year. DeMuro, who also serves as managing director of the NASD’s Board of Governors, was credited for helping promote education and dialogue between regulators and investors.
John Tiner, chief executive of the U.K. Financial Services Authority, was named Regulator of the Year. Duane Thompson, group director for advocacy at the Financial Planning Association, was honored as Lobbyist of the Year. Anthony Artabane, partner at PricewaterhouseCoopers, was named Auditor of the Year-a new category.
Charles Mills, partner, and Dylan Carp, associate, at Kirkpatrick & Lockhart Nicholson Graham, were named Lawyers of the Year. Orchestria, which was cited for helping Wall Street firms meet the global research analyst settlement requirements, won Vendor of the Year.