Compliance Week1 天
PCAOB fines KPMG units $3.4M, PwC Singapore $1.5M for audit, independence violations
Nine affiliates of KPMG agreed to pay a total of nearly $3.4 million for alleged violations of audit and quality control ...
Compliance Week1 天
EU drives ‘omnibus’ of simplifications through landmark sustainability reporting directives
The European Commission has adopted proposals for radical simplifications to the EU's trailblazing environmental regulations.
Compliance Week1 天
EU drives ‘omnibus’ of simplifications through landmark sustainability directives
The European Commission has adopted proposals for radical simplifications to the EU's trailblazing environmental regulations.
Compliance Week2 天
Robinhood pays $30M in fines, restitution for faulty AML program, customer disclosures
Robinhood will pay nearly $30 million in penalties for violating Financial Industry Regulatory Authority rules with ...
Compliance Week3 天
Firm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
Two executives at New York-based Momentum Advisors, including the firm's chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
Compliance Week3 天
Learn to identify and redirect unethical behavior at CW Ethics & Compliance Summit
A panel at Compliance Week's Ethics and Compliance Summit will use interactive exercises, real-world case studies, and DOJ ...
Compliance Week4 天
Two senators want to know: What’s the legal basis for suspending enforcement of the CTA?
Two senators behind the Corporate Transparency Act have demanded that U.S. Treasury Secretary Scott Bessent justify his ...