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FINRA sets fine ranges for AML failures, removes limits on certain penalties
The Financial Industry Regulatory Authority increased penalties for member violations of securities rules, including removing upper limits on fines for certain instances of misconduct.
Infinity Q CCO settles SEC charges of aiding $1B fraud scheme
Scott Lindell, the former chief risk officer and chief compliance officer of Infinity Q Capital Management, settled SEC charges he helped the founder of the investment adviser carry out a $1 billion overvaluation fraud scheme.
Tango Card to pay $116K for e-gift card sanction violations
Tango Card, a supplier and distributor of electronic rewards, agreed to pay approximately $116,000 as part of a settlement with the Office of Foreign Assets Control for apparent sanctions violations related to its issuance of e-gift cards.
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Survey: Help us get ‘Inside the Mind of the CCO’
Compliance Week’s fourth annual “Inside the Mind” survey seeks to discover what makes CCOs and those who toil in the field of compliance tick. Take 10 minutes to share your experiences (anonymously) and be part of our upcoming special report.
Survey: Trends in code of conduct training
This survey seeks to determine what compliance teams are doing to ensure their organization’s code of conduct training programs are relevant and up to date with today’s evolving compliance landscape.
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Building the Case for Benchmarking
In today’s business environment, benchmarking has become a critical piece of a successful ethics and compliance program—from comparing against the practices of other organizations, identifying gaps, accessing helpful recourses to guide program improvements, and more.
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Data and Research
Survey: Firms early to prep for SEC’s climate-related disclosure rule
Closing the data risk gap: How technology enables data protection
Desire for transparency launches FedEx on ESG journey
CW case study offers 360-degree view of ransomware attack
CW presents: ‘Coming Clean: Volkswagen’s Dieselgate scandal and compliance monitorship’
Compliance Week presents: ‘A Tale of Two Storms’
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More from Compliance Week
ADM unit fined $500K by CFTC for supervision failures
ADM Investor Services, a futures broker affiliate of food processing giant ADM, agreed to pay $500,000 to settle CFTC charges it failed to properly supervise its employees and agents in their handling of commodity interest accounts.
Experts: EU Cyber Resilience Act puts pressure on tech developers, users
The EU’s proposed Cyber Resilience Act primarily puts pressure on tech manufacturers to ensure the cybersecurity of their products, but companies also have a duty of care to use the most secure products available.
Barclays to pay $361M to resolve sales of unregistered securities
Barclays PLC and Barclays Bank agreed to pay $361 million to resolve allegations from the SEC the bank failed to implement internal controls to track the sale of $17.7 billion worth of unregistered securities transactions.
Deloitte China fined $20M for ‘basic’ audit standard violations
The Chinese affiliate of Big Four audit firm Deloitte agreed to pay a $20 million penalty and undertake extensive remedial measures as part of a settlement with the SEC for audit failures that included asking clients to conduct their own audit work.
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