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Compliance Week
50 分钟
SEC charges against CCO in penny stock scheme raise question about gatekeeper liability
A recent complaint by the Securities and Exchange Commission against the chief compliance officer of a Chicago-based ...
Compliance Week
1 小时
FRC discloses probe of KPMG over 2022 audit of gambling company Entain
The U.K. Financial Reporting Council disclosed an investigation into KPMG's audit of international sports betting and ...
Compliance Week
1 小时
Walgreens ducked compliance, filled fake opioid prescriptions, DOJ suit alleges
Walgreens skimped on compliance and filled millions of prescriptions for narcotics that weren't medically necessary, the ...
Compliance Week
1 天
Amex to pay $230M in penalties to resolve charges it deceived customers, banking partner
American Express will pay approximately $230 million in fines and penalties to settle allegations that it deceptively ...
Compliance Week
1 天
SEC fines Wells Fargo $35M, Merrill Lynch $25M over improper cash sweeps
Wells Fargo and Merrill Lynch will pay $35 million and $25 million, respectively, to settle allegations by the Securities and ...
Compliance Week
1 天
SEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
Compliance Week
2 天
The Rise, Fall, and Rise of Crypto: Lessons from FTX amidst a changing regulatory landscape
As President Trump assumes power, the crypto industry is in the spotlight. Trump has tapped popular crypto advocate Paul ...
Compliance Week
4 天
GM sued by FTC for selling location and behavioral data without drivers' consent
General Motors failed to disclose to customers that it tracked their precise locations and driving behavior and sold the data ...
Compliance Week
6 天
Musk sued by SEC for failing to disclose Twitter stock purchases quickly enough
Elon Musk, the world's wealthiest person and the apparent right-hand man of incoming U.S. president Donald Trump, has been ...
Compliance Week
4 天
Cash App owner Block to pay $175M over fraud caused by lax consumer protection practices
Block, the owner of Cash App and Square, will pay $175 million to settle allegations that its lax consumer protection ...
Compliance Week
5 天
SEC fines cannabis hedge fund $150K for bogus AML policies, ties to Russian oligarch Abramovich
Cannabis hedge fund Navy Capital Green Management agreed to pay $150,000 to settle charges levied by the Securirties and ...
Compliance Week
6 天
FDA bans Red No. 3 dye after decades of concerns over possible health risks
The U.S. Food and Drug Administration announced Wednesday it has revoked authorization for color additive Red No. 3 from food ...
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