By Joe Mont2017-01-18T10:30:00
Under Mary Jo White, the SEC greatly expanded its focus on cross-border enforcement, adding risk and compliance challenges for companies wherever they are based. Joe Mont reports.
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2017-01-31T15:15:00Z By Matthew Reinhard
Matthew Reinhard discusses the complexities involved in navigating joint United States, United Kingdom investigations.
2026-02-18T22:02:00Z By Ruth Prickett
A new U.K. Consumer Composite Investments regime comes into force on April 6 and will apply to all firms that manufacture or distribute CCI products to retail investors in the U.K. This includes some firms that are not regulated by the Financial Conduct Authority.
2026-02-17T23:11:00Z By Ruth Prickett
Four senior partners at Big Four accountancy firm Ernst & Young, including a leader in the firm’s compliance function, have left the company because of spiralling repercussions from a costly compliance failure.
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