Compliance Week16h
SEC fines Cantor Fitzgerald $6.75M for failing to disclose pre-IPO talks
Financial services firm Cantor Fitzgerald will pay a $6.75 million fine to the Securities and Exchange Commission (SEC) for ...
Compliance Week9h
U.S. Appeals Court overturns Nasdaq board diversity rule
A U.S. Appeals Court overturned a Securities and Exchange Commission rule that had required companies listed on the Nasdaq ...
Compliance Week20h
U.K. can't shake reputation of being a conduit to individual, institutional money laundering
London has long had the dubious reputation of being the world’s money laundering capital and it looks like it’s a title it is ...
Compliance Week10h
Worries DOJ is ‘dumping’ AI responsibilities on compliance in ECCP update
When the U.S. Department of Justice released its revised Evaluation of Corporate Compliance Programs earlier this year, it ...