All articles by Adrianne Appel – Page 3
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Basic PageDOJ shutters FBI unit that investigated Trump and 2020 election interference
The Department of Justice (DOJ) has shuttered a special Federal Bureau of Investigation (FBI) unit that focused on public corruption and whose legwork led to the special counsel investigation of President Donald Trump for trying to overturn the 2020 election results.
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News BriefCFPB pulls data broker rule in win for industry, setback for consumer advocates
The Consumer Financial Protection Bureau has pulled back a draft privacy rule that would have required businesses to take more steps before selling consumers’ financial and personal data.
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Basic PageNew DOJ policy means heat is off corporate crime and on drug kingpins
The Department of Justice is moving the enforcement of all but the most heinous white-collar crimes onto the back burner and putting investigations of drug kingpins, illegal immigration, and sanctions evasions up front, Matthew Galeotti, head of the DOJ’s Criminal Division, said Monday.
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News BriefTrump EO seeks to undo federal consent orders against businesses over lending, hiring bias
Businesses under consent decrees for violating federal anti-discrimination laws, including fairness in lending and hiring laws, may be off the hook under a sweeping executive order (EO) issued by President Donald Trump last month. The EO, aimed at furthering his agenda of dismantling protections against discrimination, says all agencies “shall ...
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News BriefFTC rule forces fee transparency in ticketing and lodging industries
Ticketing and short-term lodging businesses will be prohibited from hiding “convenience” and other fees from consumers under a rule by the Federal Trade Commission (FTC), set to take effect next week.
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News BriefFinCEN proposes bar on Cambodian company due to alleged money laundering
A Cambodian financial company, the Huione Group, has laundered billions of dollars for international criminals and those linked to North Korea, according to the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN). The agency proposes that the company should be severed from having access to the U.S. financial ...
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News BriefNYDFS to continue crypto enforcement, Superintendent Harris says
The New York Department of Financial Services (NYDFS), led by Superintendent Adrienne Harris, doesn’t intend to let up on cryptocurrency enforcement, even in the face of pullback from the federal government.
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PremiumEthics education is key, says Tom Hardin AKA “Tipper X”
Tom Hardin AKA “Tipper X” went from a young trader with his whole career ahead of him to an inside trader who got caught, acted as a Federal Bureau of Investigation informant for two years, and pleaded guilty to a felony.
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PremiumPepsiCo’s Farzin Firooznia is the 2025 Compliance Officer of the Year
Some compliance teams consider it outside their roles to learn the ins and outs of their businesses, and something to explore when they have time.
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News BriefNetworking is key for women in compliance
Compliance can be a highly fulfilling job but one that is tough and sometimes lonely, too. But participants at the Women in Compliance Brunch & Learn session at Compliance Week’s 20th anniversary national conference agreed community was the solution, though it can come in different ways.
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News BriefSenate Democrats urge DOJ to revive crypto crime unit amid growing enforcement concerns
A small band of Senate Democrats is calling on the Trump administration to reinstate the cryptocurrency investigations unit at the Department of Justice (DOJ).
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PremiumTrump family buys into crypto as regulators consider soft touch on the industry
Any doubts that the new administration will take a light touch to upcoming cryptocurrency regulation vanished with President Donald Trump’s launch of his own stablecoin and his family’s growing investments in crypto businesses.
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News BriefBanks reported more than $1 B in suspicious activity–much of it fentanyl linked
Banks alerted authorities to $1.4 billion in suspicious transactions in 2024, a big assist in the nation’s fight against crime and fentanyl trafficking, according to the Financial Crimes Enforcement Network.
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News BriefCash App parent to pay $40 million for alleged BSA/AML violations in New York
Block Inc., maker of the popular Cash App, has been hit with a $40 million fine by New York for its alleged failure to report suspicious activity. The move marks the latest in a string of recent state and federal enforcement actions against the company.
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News BriefNew cybersecurity requirements fast approaching for New York financial firms
Many financial firms have mere days to notify New York about whether they have complied with the state’s strict cybersecurity regulations, and to gear up for new requirements rolling out May 1 and beyond.
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News BriefCalifornia Attorney General Bonta warns businesses that FCPA still in full force
The federal government may have paused enforcement of the Foreign Corrupt Practices Act (FCPA), but that’s not the case in California, where bribes to foreign officials will be prosecuted, Attorney General Rob Bonta warned.
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News BriefFTC case against insulin price gouging halted after commissioners fired by Trump
A Federal Trade Commission case against insulin price gouging has come to a screeching halt after two Democratic commissioners were fired by President Donald Trump.
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News BriefCCO who was ‘sole person controlling’ investment firm charged with recidivist concentration violations
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
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Basic PageSEC postpones compliance date for amendments to investment company names rule
Investment companies will have six additional months to comply with an update to the Securities and Exchange Commission rule aimed at making investment fund names more accurate.
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News BriefFirm, 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.