Topics

DOJ orders Paragon Systems, subsidiary to pay $54M over front company contracts scheme

FCA slaps Metro Bank with $21M fine for inadequate AML monitoring

Spanish telecomm Telefónica S.A. fined $85M over bribes to government officials in Venezuela

SEC orders Invesco to pay $17.5M over misleading investors about ESG assets

Navy Federal Credit Union to pay $95M in fines, redress over ‘surprise’ overdraft fees

FTC to monitor compliance at AI-enabled product review platform after misleading ratings

FINRA fines Morgan Stanley $1M for alleged documentation failures

Texas health group pays $14.2M for alleged physician self-referral violations

Underfunding of BSA/AML compliance made TD Bank an unwitting partner to cross-border crime

Real estate firm JLL fined by Canada’s FINTRAC for AML, KYC failures

Vystar pays $1.5 million for alleged lack of due diligence with launch of troubled banking system

Meta discloses potential CFPB lawsuit following probe into advertising, disclosure practices

JPMorgan Chase to pay $151M in penalties, restitution to settle disclosure lapses

Irish DPC fines LinkedIn $335M over GDPR violations related to targeted advertising

Goldman and Apple pay $89M over alleged Apple Card consumer violations

Precision Toxicology to pay $27 million to settle allegations of unnecessary drug testing

WisdomTree pays $4M SEC fine for including fossil fuel, tobacco securities in ESG funds

Vietnamese business pays $860K for violating U.S. sanctions on North Korea

Election rules aimed to curb AI misuse may serve as regulatory warning for all advertisers

Meta-backed EU appeals body facing conflicts of interest concerns

Speakers at Compliance Week AI & Compliance Summit talk future rules around technology

U.K. Employment Rights Bill triggers debate over flexibility vs. exploitation

Treasury set to block investment flow on American AI, semiconductor tech to China

FCC teams up with CPPA to enforce privacy rules

AI & Compliance Summit: Regs discuss artificial intelligence guardrails for financial services

CFPB will enforce Fair Credit Reporting Act on employee background reports, monitoring

New CFPB data rights rule will modernize U.S. banking system, Chopra says

DOJ proposes rule that would block sale of Americans’ personal data to Chinese, Russian firms

Keys to a successful GenAI use policy: Clear roles, training, vendor management

NYDFS expects banks, firms to cut risks posed by AI, according to new guidance

Pace of innovation will make EU AI Act hard to enforce, experts say

FTC final ‘Click to Cancel’ Rule requires disclosure of material facts before enrollments

DOJ steps up enforcement approach against AI-powered cybercrime

Chinese steel, artificial sweetener from Xinjiang now banned under UFLPA

Are the qui tam provisions of the False Claims Act constitutional? A Florida judge just said no

AI misuse could lead to sanctions from multiple regulators, experts warn

EV maker Fisker under investigation by SEC amid bankruptcy, ICFR weaknesses

Five firms fined by PCAOB for alleged communications, reporting failures

Prager Metis agrees to pay $2M over failed audits, including FTX

SEC charges Kubient 'gatekeepers' with failing to stop CEO's AI fraud

Chinese regulators impose six-month ban, $62M fine on PwC’s China unit

Circor avoids fine after self-reporting accounting control violations to SEC

Austal reaches $49M deal with DOJ, SEC over accounting, securities fraud, false claims

FCA fines PwC $19.5M for failing to report fraud at London Capital & Finance

Ideanomics, execs to pay $5M over allegedly misleading auditor

FRC orders EY to pay $376K over 2021 audit of Evraz

LexisNexis survey: Compliance costs soared for U.K. banks in 2023

New U.K. government moves to transform FRC into ARGA

FRC dings MacIntyre Hudson $156K over public interest entity violations

Lessons from PwC’s failure to squelch dissent in the ranks with ‘silent layoffs’

Ex-Outcome Health execs sentenced for overbilled ad revenue, misleading auditor

Silvergate Bank to pay $63M to Fed, California over BSA/AML deficiencies

SEC orders Meta Materials to pay $1M over market manipulation, fraud

CFPB proposes $3.95M fine against Freedom Mortgage over repeated data errors

SEC orders Invesco to pay $17.5M over misleading investors about ESG assets

Annual survey: Help us get ‘Inside the Mind of the CCO’

U.K. sanctions 56 entities connected to Russia’s 'war machine'

FINRA fines Morgan Stanley $1M for alleged documentation failures

Meta discloses potential CFPB lawsuit following probe into advertising, disclosure practices

Election rules aimed to curb AI misuse may serve as regulatory warning for all advertisers

Meta-backed EU appeals body facing conflicts of interest concerns

JPMorgan Chase to pay $151M in penalties, restitution to settle disclosure lapses

Keys to a successful GenAI use policy: Clear roles, training, vendor management

Raytheon parent RTX settles false claims, defective pricing, Qatar FCPA violations for $950M

Pace of innovation will make EU AI Act hard to enforce, experts say

Photo gallery: Compliance Week Europe 2024

Control and delete: How regulators can shutdown companies’ AI investments

SEC penalizes Rimar CEO, holding company board member $524K total for ‘AI washing’

TD Bank fined nearly $3.1B by U.S. regulators for AML compliance failures

Photo gallery: Compliance Week AI & Compliance Summit

American Water Works discloses probe into cybersecurity breach

Companies are slowing AI launches in Europe, some say European Union regulations are why

Meta discloses potential CFPB lawsuit following probe into advertising, disclosure practices

WisdomTree pays $4M SEC fine for including fossil fuel, tobacco securities in ESG funds

Keys to a successful GenAI use policy: Clear roles, training, vendor management

Raytheon parent RTX settles false claims, defective pricing, Qatar FCPA violations for $950M

DOJ orders Wynn Las Vegas to forfeit $130M over BSA/AML violations

Bank of America unit reaches $3M settlement with FINRA over surveillance lapses

Nordea Bank to pay $35M to resolve NYDFS probe into AML shortcomings

How are you keeping up? The adoption of AI in compliance

U.K. forced labor ruling raises bar for supply chain monitoring

ICO proposes $7.8M fine against NHS contractor in warning to IT providers

LexisNexis survey: Compliance costs soared for U.K. banks in 2023

DORA set to enhance cyber resilience requirements for EU financial firms

Banking regs issue guidance on risks posed by bank-fintech relationships

DOJ orders Admera Health to pay $5.5M to settle kickback allegations

Risk visibility striking fear in companies onboarding new customers

FTC wants answers from Mastercard, JPMorgan, others on use of AI to collect data

Green Dot fined $44M by Fed over compliance deficiencies, deceptive practices

FINRA fines UBS unit $850K for failing to properly monitor customer transactions

Spanish telecomm Telefónica S.A. fined $85M over bribes to government officials in Venezuela

Underfunding of BSA/AML compliance made TD Bank an unwitting partner to cross-border crime

Real estate firm JLL fined by Canada’s FINTRAC for AML, KYC failures

Raytheon parent RTX settles false claims, defective pricing, Qatar FCPA violations for $950M

Poor internal controls led to FCPA violations in Moog’s $1.7M settlement with SEC

TD Bank fined nearly $3.1B by U.S. regulators for AML compliance failures

FinCEN, OFAC sanction crypto platforms linked to Russia, cybercrime

AAR Corp. discloses former exec implicated in Nepal, South Africa FCPA violations

Wells Fargo agrees with OCC to shore up BSA/AML, sanctions program deficiencies

An Amsterdam discussion on increased role of CCOs

John Deere to pay $10M to settle FCPA violations by subsidiary in Thailand

DOJ orders Wynn Las Vegas to forfeit $130M over BSA/AML violations

Experts warn U.K. money laundering cases to ‘significantly increase’

Strengthening BSA/AML defenses: Critical role of ERTs in modern day compliance

Ian Sherr joins Compliance Week as its new editor-in-chief

FinCEN finalizes AML rules for investment advisers, cash real estate transactions

Nordea Bank to pay $35M to resolve NYDFS probe into AML shortcomings

TD Bank discloses liabilities over AML probes in U.S. balloon to $2.6B

Irish DPC fines LinkedIn $335M over GDPR violations related to targeted advertising

FCC teams up with CPPA to enforce privacy rules

DOJ proposes rule that would block sale of Americans’ personal data to Chinese, Russian firms

Keys to a successful GenAI use policy: Clear roles, training, vendor management

Pace of innovation will make EU AI Act hard to enforce, experts say

Photo gallery: Compliance Week Europe 2024

Control and delete: How regulators can shutdown companies’ AI investments

Companies are slowing AI launches in Europe, some say European Union regulations are why

T-Mobile reaches $31.5M settlement with FCC over multiple data breaches

Irish DPC fines Meta $102M over GDPR violation linked to improper storage of passwords

AI misuse could lead to sanctions from multiple regulators, experts warn

FTC sounds alarm on business practices turning into ‘vast surveillance’

Clearview AI’s GDPR fines rise to $110M total after latest penalty by Dutch DPA

Dutch DPA fines Uber $324M over transferring driver data to U.S.

How are you keeping up? The adoption of AI in compliance

FTC tries to close COPPA loophole with amicus brief against IXL Learning

Spanish DPA dings retailer Uniqlo $294K over GDPR violations

ICO proposes $7.8M fine against NHS contractor in warning to IT providers

Unisys, three other firms fined a combined $7M for underplaying damage from SolarWinds hack

Keys to a successful GenAI use policy: Clear roles, training, vendor management

NYDFS expects banks, firms to cut risks posed by AI, according to new guidance

Pace of innovation will make EU AI Act hard to enforce, experts say

Government contractor fined $307K after third-party hack compromised personal data

American Water Works discloses probe into cybersecurity breach

Companies are slowing AI launches in Europe, some say European Union regulations are why

T-Mobile reaches $31.5M settlement with FCC over multiple data breaches

Deloitte survey: AI adoption raising concerns about trust, reputational damage, ethics

CISA creates new portal for businesses to file cyber incident reports

DOJ joins compliance officers in lawsuit over Georgia Tech cyber lapses

How are you keeping up? The adoption of AI in compliance

SEC orders Equiniti to pay $850K over alleged lax cybersecurity

SolarWinds partial dismissal casts doubt on SEC Cybersecurity Rule

DORA set to enhance cyber resilience requirements for EU financial firms

AI can help reel in ‘unsustainable’ breach costs, IBM report finds

FCC fines Charter Communications $15M over failing to report 911 outages

How fintechs can overcome major compliance hurdles in embedded finance

AI & Compliance Summit notebook: ‘Think big. Start small. Scale fast.’

AI and government: How Trump or Harris presidency will differ on policy, regulation

Deloitte survey: AI adoption raising concerns about trust, reputational damage, ethics

‘Tick-box’ training leads to tragic outcome in Costa Coffee allergen case

An Amsterdam discussion on increased role of CCOs

Norfolk Southern fires CEO, CLO for affair that violated company policies

U.K. whistleblower protections, awards needed to compensate ‘career suicide’

How are you keeping up? The adoption of AI in compliance

Q&A: APCC chair on culture challenges facing financial services firms

Many dating apps a matchmaker for cybercriminals, study finds

SFO staffing shortages improve under new leadership

Risk visibility striking fear in companies onboarding new customers

Survey tackles aligning cross-generational views of ethics in the workplace

Lessons from PwC’s failure to squelch dissent in the ranks with ‘silent layoffs’

New U.K. codes strive to restore falling trust, integrity

How fintechs can overcome major compliance hurdles in embedded finance

Women in Compliance highlights: Mentorship driving DEI; fostering board buy-in

CFTC awards whistleblower $8M despite involvement in misconduct

FCA slaps Metro Bank with $21M fine for inadequate AML monitoring

Navy Federal Credit Union to pay $95M in fines, redress over ‘surprise’ overdraft fees

FINRA fines Morgan Stanley $1M for alleged documentation failures

Underfunding of BSA/AML compliance made TD Bank an unwitting partner to cross-border crime

Meta discloses potential CFPB lawsuit following probe into advertising, disclosure practices

JPMorgan Chase to pay $151M in penalties, restitution to settle disclosure lapses

Speakers at Compliance Week AI & Compliance Summit talk future rules around technology

How to adopt AI tools the right way at your company, from people who’ve tried

New CFPB data rights rule will modernize U.S. banking system, Chopra says

WisdomTree pays $4M SEC fine for including fossil fuel, tobacco securities in ESG funds

NYDFS expects banks, firms to cut risks posed by AI, according to new guidance

Pace of innovation will make EU AI Act hard to enforce, experts say

FCA fines TSB $14.2M for poor treatment of financially strapped retail customers

SEC penalizes Rimar CEO, holding company board member $524K total for ‘AI washing’

TD Bank fined nearly $3.1B by U.S. regulators for AML compliance failures

DOJ steps up enforcement approach against AI-powered cybercrime

Starling Bank fined $38.5M for repeatedly onboarding high-risk customers

TD Bank unit to pay $28M in penalties for failing to properly supervise rogue trader

Vietnamese business pays $860K for violating U.S. sanctions on North Korea

New U.K. enforcement body piles pressure on sanctions evaders

Starling Bank fined $38.5M for repeatedly onboarding high-risk customers

Wells Fargo agrees with OCC to shore up BSA/AML, sanctions program deficiencies

Report: U.K. sanctions enforcement against Russia lacking since invasion of Ukraine

Fed orders Customers Bank to improve AML, sanctions compliance

Q&A: Paxful CCO on ramping up compliance after BSA failures

Wells Fargo discloses AML, sanctions programs under investigation

OFAC sanctions entities providing electronic components for Iranian weapons

FCA wants input on how Consumer Duty overlaps with existing rules

Treasury official slams Florida ‘anti-woke’ law for ‘undermining’ BSA compliance

State Street to pay $7.5M to settle Russia sanctions violations by subsidiary

Risk visibility striking fear in companies onboarding new customers

OFAC sets Aug. 2 deadline for firms to report Russian sovereign assets

FinCEN updates red flags to watch for in thwarting West Bank settler violence

DOJ latest agency to charge crypto platform BitMEX for BSA/AML failures

Q&A: Seaco general counsel, compliance head on environmental regulations

Mondo TV reaches $538K settlement with OFAC over N. Korea sanctions violations

Meta discloses potential CFPB lawsuit following probe into advertising, disclosure practices

Meta-backed EU appeals body facing conflicts of interest concerns

Speakers at Compliance Week AI & Compliance Summit talk future rules around technology

Treasury set to block investment flow on American AI, semiconductor tech to China

AI & Compliance Summit: Regs discuss artificial intelligence guardrails for financial services

How to adopt AI tools the right way at your company, from people who’ve tried

Keys to a successful GenAI use policy: Clear roles, training, vendor management

NYDFS expects banks, firms to cut risks posed by AI, according to new guidance

Pace of innovation will make EU AI Act hard to enforce, experts say

Government contractor fined $307K after third-party hack compromised personal data

Control and delete: How regulators can shutdown companies’ AI investments

SEC penalizes Rimar CEO, holding company board member $524K total for ‘AI washing’

Photo gallery: Compliance Week AI & Compliance Summit

AI & Compliance Summit notebook: ‘Think big. Start small. Scale fast.’

Companies are slowing AI launches in Europe, some say European Union regulations are why

DOJ steps up enforcement approach against AI-powered cybercrime

AI Governance Benchmarking Survey

Provided by GAN Integrity

AI misuse could lead to sanctions from multiple regulators, experts warn

Speakers at Compliance Week AI & Compliance Summit talk future rules around technology

Treasury set to block investment flow on American AI, semiconductor tech to China

Poor internal controls led to FCPA violations in Moog’s $1.7M settlement with SEC

How lax compliance led three defense companies to give military secrets to U.S. adversaries

Circor avoids fine after self-reporting accounting control violations to SEC

BCG avoids criminal prosecution for FCPA violations related to bribes in Angola

SEC fines Sound Point Capital $1.8M over policy failures

TD Bank discloses liabilities over AML probes in U.S. balloon to $2.6B

Ideanomics, execs to pay $5M over allegedly misleading auditor

LexisNexis survey: Compliance costs soared for U.K. banks in 2023

Wells Fargo discloses AML, sanctions programs under investigation

FCA fines Coinbase subsidiary $4.5M over providing service to high-risk customers

Green Dot fined $44M by Fed over compliance deficiencies, deceptive practices

FTX reaches $4 billion settlement with CFTC in bankruptcy court lawsuit

FINRA fines UBS unit $850K for failing to properly monitor customer transactions

OCC, Fed fine Citi $136M for repeated risk management, data governance failures

SEC orders Meta Materials to pay $1M over market manipulation, fraud

Broadway Financial discloses ICFR weaknesses due to training shortfalls

Speakers at Compliance Week AI & Compliance Summit talk future rules around technology

How to adopt AI tools the right way at your company, from people who’ve tried

AI Governance Benchmarking Survey

Provided by GAN Integrity

Deloitte survey: AI adoption raising concerns about trust, reputational damage, ethics

All hands on deck needed to get ESG disclosures right, report finds

Compensation survey pegs annual pay at $419K for public company CCOs

2024 Regulatory Compliance Outlook Survey

Provided by Resolver

LexisNexis survey: Compliance costs soared for U.K. banks in 2023

AI can help reel in ‘unsustainable’ breach costs, IBM report finds

Compensation survey finds average annual CCO pay jumped above $400K

Risk visibility striking fear in companies onboarding new customers

Survey tackles aligning cross-generational views of ethics in the workplace

Citi report: GenAI revolution will bring increased need for compliance

Panelists break down robust sanctions landscape at TPRM Summit

FinCEN BSA data: Fraud, money laundering top suspicious activities

Experts: AI risk mitigation second nature for compliance professionals

SEC’s Grewal shares views on ‘Five Principles of Effective Cooperation’

Survey: Social media remains vexing issue for financial firms

What’s your risk appetite? EU firms grapple with ‘ridiculously complex’ ESG reporting rules

New U.K. enforcement body piles pressure on sanctions evaders

Commerce Dept. unveils new supply chain risk assessment tool

U.K. forced labor ruling raises bar for supply chain monitoring

All hands on deck needed to get ESG disclosures right, report finds

Risk visibility striking fear in companies onboarding new customers

French bus part supplier CBM to pay $2.4M to settle DOJ fraud allegations

Q&A: Seaco general counsel, compliance head on environmental regulations

Additions to UFLPA Entity List signal seafood supply chain risks

Panelists break down robust sanctions landscape at TPRM Summit

Hyundai Motor caught in DOL complaint over child labor

Senate report cites VW, BMW, JLR for potential forced labor violations

Flex says no action by OFAC into possible sanctions violations

UFLPA Entity List nearly doubles with textile industry sweep

Williams-Sonoma fined record $3.2M over admitted ‘Made in USA’ order violations

Report: Poor awareness of supply chain disclosure regs leaving firms exposed

U.S. senator calls for Temu ban over forced labor, privacy concerns

U.K. border controls on EU goods evoke supply chain disruption concerns

DOJ orders Paragon Systems, subsidiary to pay $54M over front company contracts scheme

Raytheon parent RTX settles false claims, defective pricing, Qatar FCPA violations for $950M

Government contractor fined $307K after third-party hack compromised personal data

Teva Pharma to pay $450M to settle kickback, price-fixing allegations

Are the qui tam provisions of the False Claims Act constitutional? A Florida judge just said no

DOJ updates ECCP to include AI risks, whistleblower protections

SEC penalizes seven firms $3M total for impeding whistleblower protections

SEC fines Nationwide Planning, affiliates combined $240K over impeding whistleblowers

Ian Sherr joins Compliance Week as its new editor-in-chief

DOJ orders LA to pay $38M over filing false claims for HUD grants

Two pairs of whistleblowers claim separate SEC awards totaling $122M

DOJ joins compliance officers in lawsuit over Georgia Tech cyber lapses

U.K. whistleblower protections, awards needed to compensate ‘career suicide’

Hospice agency Intrepid USA to pay $3.8M over false claims to Medicare

DOJ orders apparel importer Alexis to pay $7.7M over underpaid customs duties

Avantor agrees to pay $5.3M to settle false claims, chemicals reporting violations

Game-changing DOJ pilot whistleblower program panned by critics

OSHA orders Maersk to pay $707K over suspending, firing whistleblower

Annual survey: Help us get ‘Inside the Mind of the CCO’

EU businesses will soon have to report on supply chains and sustainability. Not all are ready

WisdomTree pays $4M SEC fine for including fossil fuel, tobacco securities in ESG funds

What’s your risk appetite? EU firms grapple with ‘ridiculously complex’ ESG reporting rules

AI and government: How Trump or Harris presidency will differ on policy, regulation

‘Biblically responsible’ investment adviser ordered to pay $300K over misleading investors

Budweiser Budvar registration failures show ESG impacts of U.K. noncompliance

FCA delays compliance date for certain parts of ESG rule package

Ian Sherr joins Compliance Week as its new editor-in-chief

Q&A: APCC chair on culture challenges facing financial services firms

All hands on deck needed to get ESG disclosures right, report finds

Marathon Oil inks $242M settlement with DOJ, EPA over N. Dakota air pollution

New U.K. codes strive to restore falling trust, integrity

Q&A: Seaco general counsel, compliance head on environmental regulations

SCOTUS overturns Chevron doctrine, putting thousands of regulations in limbo

Women in Compliance highlights: Mentorship driving DEI; fostering board buy-in

EU agencies examine efforts to identify and monitor examples of greenwashing

Treasury, other agencies issue voluntary carbon market principles

Meta-backed EU appeals body facing conflicts of interest concerns

Irish DPC fines LinkedIn $335M over GDPR violations related to targeted advertising

EU businesses will soon have to report on supply chains and sustainability. Not all are ready

Pace of innovation will make EU AI Act hard to enforce, experts say

Photo gallery: Compliance Week Europe 2024

What’s your risk appetite? EU firms grapple with ‘ridiculously complex’ ESG reporting rules

Companies are slowing AI launches in Europe, some say European Union regulations are why

AI misuse could lead to sanctions from multiple regulators, experts warn

Barclays is axing its bonus caps. Is it also ditching good governance?

FTC sounds alarm on business practices turning into ‘vast surveillance’

An Amsterdam discussion on increased role of CCOs

All hands on deck needed to get ESG disclosures right, report finds

DORA set to enhance cyber resilience requirements for EU financial firms

Lithuanian DPA orders Vinted to pay $2.6M over GDPR violations

European Commission informs X it may be in breach of Digital Services Act

EU agencies examine efforts to identify and monitor examples of greenwashing

Reignited calls to tighten up AML in London, crown dependencies

Big Tech data for finance: Will FCA plans set trend?

Compensation survey pegs annual pay at $419K for public company CCOs

Compensation survey finds average annual CCO pay jumped above $400K

King’s Speech signals major employment law changes ahead in U.K.

Lessons from PwC’s failure to squelch dissent in the ranks with ‘silent layoffs’

Revamped compliance processes key Albemarle win as Compliance Program of the Year

SEC chief accountant calls out audit leadership culture

Regs move forward Dodd-Frank rule on risk considerations in bank exec pay

CW2024 mentors explain why ‘in compliance, you’re never an island’

CW2024 women’s brunch panel: Five steps from compliance to the board

U.K. sets recommendations to address misogyny in finance

Chapter 1: Compliance v. complicity: The ‘underbelly’ of bank culture

DOJ eyeing more FCPA cases with whistleblower program

Skechers fined $1.25M over related person disclosure failures

Top brands shamed for U.K. minimum wage failings ahead of hike

Banks avoid penalties in OCC deals, agree to shore up AML/BSA, board oversight

Women in Compliance highlights: Mentorship driving DEI; fostering board buy-in

​Debate: Experts discuss pros, cons of whistleblower process

FAT Brands on defense over DOJ, SEC accounting misconduct allegations

Effective risk culture starts at the top. Everyone is required to make it successful

Experts: ESG gone mainstream, but new regs still create headaches

Data, consumer support key to conveying value of compliance

CW2024 women’s brunch panel: Five steps from compliance to the board

​DOJ antitrust scrutiny pushes out 2 WBD board directors

​Chemours: DOJ, SEC probing exec accounting misconduct

Equinix probing short seller accusations amid DOJ scrutiny

Experts: Legal noise around SEC climate disclosure rule no excuse for standing still

Chapter 3: Egregious failures: Customer due diligence and transaction monitoring

Chapter 1: Compliance v. complicity: The ‘underbelly’ of bank culture

Chemours says probe found accounting misconduct by execs

HG Vora fined $950K for beneficial ownership disclosure failures

Best practices for determining need for a human rights policy

Grewal: Investors care about ESG claims—so do SEC enforcers

’Bait-and-switch’: Pham critical of CFTC self-reporting policy

Latest off-channel comms sweep nets SEC, CFTC $477M in fines

LexisNexis survey: Compliance costs soared for U.K. banks in 2023

Game-changing DOJ pilot whistleblower program panned by critics

SEC awards $37M to whistleblower who was retaliated against by supervisors

State Street to pay $7.5M to settle Russia sanctions violations by subsidiary

Raytheon parent reserves $1.24B over improper payments, export control violations

CFPB warns against censoring whistleblowers via broad NDAs

SEC whistleblower to receive $37M award

Autodesk says no restatements following accounting probe

SEC’s Grewal shares views on ‘Five Principles of Effective Cooperation’

Revamped compliance processes key Albemarle win as Compliance Program of the Year

Broadway Financial discloses ICFR weaknesses due to training shortfalls

PCAOB dings MaloneBailey $400K over ‘pervasive’ quality control violations

Flex says no action by OFAC into possible sanctions violations

DOJ orders Evoqua to pay $8.5M over admitted securities fraud

Insight Global to pay $2.7M over lax security on contact tracing data

Wirecard whistleblower laments EU speak-up protection inconsistencies