By Jaclyn Jaeger2016-05-17T19:45:00
The threat of increasing personal liability has compliance officers on the defensive, especially in light of the newly established compliance counsel role within the Department of Justice’s Fraud Section. Jaclyn Jaeger looks into how CCOs are dealing with this intensified level of direct scrutiny on their performance.
2016-06-01T10:45:00Z By Jaclyn Jaeger
During a keynote panel at Compliance Week 2016, enforcement officials from the Securities and Exchange Commission and the Department of Justice spoke candidly about compliance program effectiveness, personal liability, and more. Jaclyn Jaeger reports.
2025-12-05T19:25:00Z By Oscar Gonzalez
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
2025-12-03T17:18:00Z By Adrianne Appel
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.
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