Report: SEC Must Improve Enforcement Operations

By Melissa Klein Aguilar2007-09-25T00:00:00

lock icon THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.

Become a Member

News and analysis for the well-informed compliance or audit exec. Select an option and click continue.

Annual Membership $499 Value offer

Full price one year membership with auto-renewal.

Membership $599

One-year only, no auto-renewal.

Access CW Newsletters and CPE webcasts. REGISTER FOR LIMITED FREE ACCESS

Already a Compliance Week member?

Article
SEC Enforcement; Proxy Fights; More

2008-07-29T00:00:00Z By Compliance Week
News Brief
FINRA ends year with string of fines against Jefferies, UBS, Citi, Barclays

2025-01-03T14:44:00Z By Jeff Dale

The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged misconduct, but all related to the firms’ failures to implement a supervisory system reasonably designed to achieve compliance with FINRA rules.
News Brief
Russian-Israeli LockBit developer to be extradited to U.S. for extorting $500M

2024-12-30T15:50:00Z By Adrianne Appel

An alleged software mastermind of the notorious LockBit ransomware group will soon be extradited to the United States to stand trial on charges that his criminal enterprise extorted at least half a billion dollars from victims worldwide, including U.S. businesses and hospitals, the Department of Justice (DOJ), said.