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
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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
Compliance & Ethics
Feb 6, 2024
SEC Charges Cloopen Group with Accounting Fraud; Cloopen Avoids Penalties Through Self-Reporting and Cooperation
Internal Audit & Controls
Feb 6, 2024
PCAOB Sanctions Auditors for Breaching Standards in Grupo Simec
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Compliance & Ethics
SEC Levies $2.9 Million Penalty Against Citigroup Over Record-Keeping Violations
Compliance & Ethics
Global Efforts Intensify as Governments Navigate Complex AI Regulation Landscape
IT Security & Privacy
Regulators Unveil Cyber Resilience Best Practices for Financial Firms
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