Compliance & Ethics
Feb 13, 2024

FinCEN Proposes Rule to Combat Illicit Finance and AML in Investment Adviser Sector

Compliance & Ethics
Feb 12, 2024

FINRA Fines TradeStation Securities for AML Program Failures

Compliance & Ethics
Feb 12, 2024

U.S. Supreme Court Sides with SOX Whistleblower in Murray v. UBS Securities Case: Lessons Learned for Compliance Teams

Third-Party & Supply Chain
Feb 9, 2024

EU Postpones Supply Chain Law Decision Amidst German & Italian Opposition

ESG
Feb 9, 2024

AMF Releases Educational Guide on Corporate Climate Transition Plans Ahead of CSRD Directive Implementation

Compliance & Ethics
Feb 9, 2024

SEC Imposes Over $81 Million in Penalties on 16 Firms for Recordkeeping Failures

Compliance & Ethics
Feb 8, 2024

Goldman Sachs Settles with FINRA, Accepts $512,500 Fine for Surveillance Failures

IT Security & Privacy
Feb 8, 2024

HHS’ Office for Civil Rights Settles Malicious Insider Cybersecurity Investigation with Montefiore Medical Center for $4.75 Million