ENGINEERINGINSIGHTRADARCompliance & Ethics
Feb 13, 2024
FCA Imposes Ban and Fines Former London Capital & Finance Compliance Head Over Financial Promotions
ENGINEERINGINSIGHTRADARCompliance & Ethics
Feb 13, 2024
FinCEN Proposes Rule to Combat Illicit Finance and AML in Investment Adviser Sector
ENGINEERINGINSIGHTRADARCompliance & Ethics
Feb 12, 2024
FINRA Fines TradeStation Securities for AML Program Failures
ENGINEERINGINSIGHTRADARCompliance & Ethics
Feb 12, 2024
U.S. Supreme Court Sides with SOX Whistleblower in Murray v. UBS Securities Case: Lessons Learned for Compliance Teams
ENGINEERINGINSIGHTRADARThird-Party & Supply Chain
Feb 9, 2024
EU Postpones Supply Chain Law Decision Amidst German & Italian Opposition
ENGINEERINGINSIGHTRADARESG
Feb 9, 2024
AMF Releases Educational Guide on Corporate Climate Transition Plans Ahead of CSRD Directive Implementation
ENGINEERINGINSIGHTRADARCompliance & Ethics
Feb 9, 2024
SEC Imposes Over $81 Million in Penalties on 16 Firms for Recordkeeping Failures
ENGINEERINGINSIGHTRADARCompliance & Ethics
Feb 8, 2024
Goldman Sachs Settles with FINRA, Accepts $512,500 Fine for Surveillance Failures
ENGINEERINGINSIGHTRADARIT Security & Privacy
Feb 8, 2024
HHS’ Office for Civil Rights Settles Malicious Insider Cybersecurity Investigation with Montefiore Medical Center for $4.75 Million
ENGINEERINGINSIGHTRADARCompliance & Ethics
Feb 6, 2024
SEC Charges Cloopen Group with Accounting Fraud; Cloopen Avoids Penalties Through Self-Reporting and Cooperation
ENGINEERINGINSIGHTRADARInternal Audit & Controls
Feb 6, 2024
PCAOB Sanctions Auditors for Breaching Standards in Grupo Simec
ENGINEERINGINSIGHTRADARESG
Feb 6, 2024
EU Council and Parliament Reach Agreement on ESG Rating Regulation