The Financial Industry Regulatory Authority (FINRA) has welcomed artificial intelligence (AI) with open arms—and also caution.
Adrianne Appel
Adrianne Appel writes regulatory news, policy, and trends for Compliance Week. She previously reported about policy developments for Bloomberg Law and Bloomberg Government.
Email: adrianne.appel@complianceweek.com
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Posted inRegulatory Enforcement
Two ADM execs settle with SEC over alleged profit inflations, one exec fighting back
Three former executives at Archer-Daniels-Midland intentionally misled investors by inflating the performance of the company’s Nutrition unit, the U.S. Securities and Exchange Commission has alleged.
Posted inTechnology
CW AI event: Boards eager for AI adoption, but governance lags
A “massive” surge in corporate leadership in adopting artitifical intelligence (AI) has been coupled with gaps in AI guardrails, according to a former Google executive speaking at a Compliance Week event on AI use in compliance.
Posted inTechnology
AI adoption high but governance and controls lag, new CW/konaAI survey finds
More than 83 percent of respondents to a new Compliance Week and konaAI survey report using artificial intelligence (AI) but only about 25 percent say their organizations have implemented a strong governance framework.
Posted inUncategorized
U.S. sees steep drop in penalties in 2025, while fines elsewhere increase
Firms worldwide got a break in 2025 on penalties for anti-money laundering (AML) failures, a new report has found.
Posted inRegulatory Enforcement
Kaiser plans pay $556M to settle Medicare upcoding allegations
Kaiser Health affiliates have agreed to pay more than $556 million to settle allegations originally made by whistleblowers that they ignored compliance department warnings and unlawfully reworked diagnoses for Medicare patients in order to receive higher payments from the federal government.
Posted inRegulatory Enforcement
FTC files contempt against credit card processor Cliq for alleged ongoing compliance failures
The Federal Trade Commission asked a court to hold the payment processor Cliq in contempt for allegedly “flagrantly” violating a 2015 order that the company monitor transactions for illegal charges and activity.
Posted inRegulatory Enforcement
SEC drops all charges against former Rio Tinto CFO related to coal valuation
The U.S. Securities and Exchange Commission dropped its case against Rio Tinto’s former chief financial officer, who has battled charges for eight years.
Posted inRegulatory Enforcement
Owner of medical supply company faces 35 years for alleged false claims, kickbacks
The owner of a medical supply company allegedly billed federal health programs $30 million for items that were unnecessary and tainted by kickbacks, according to the Department of Justice (DOJ).
Posted inRegulatory Enforcement
Former TD branch manager admits laundering $92 million for gift card bribes
A former TD Bank assistant branch manager in New York was instrumental in helping a $653 million drug money laundering operation, known as “David’s Network,” wash dirty money through the bank, the U.S. Department of Justice announced Tuesday.