By Joe Mont2015-11-06T11:00:00
Image: Many compliance officers are on edge these days amid regulatory actions that underscore their risk of personal liability. Once again, Andrew Ceresney, director of the SEC’s Division of Enforcement, is trying to soothe some of that angst. He recently told an audience of CCOs, “There has been no change ...
2018-11-27T15:15:00Z By Joe Mont
Although corporate compliance officers are receiving greater support for their programs, concerns about personal liability increased over the past year, according to a new survey conducted by DLA Piper.
2025-07-18T16:33:00Z By Aaron Nicodemus
A brokerage and investment firm will pay $11.8 million for providing services to individuals under U.S. sanctions, as well as people located in countries sanctioned by the U.S.
2025-07-16T20:11:00Z By Oscar Gonzalez
Delta Air Lines agreed to pay $8.1 million over allegations it violated the False Claims Act by exceeding employee compensation limits it agreed to when taking federal pandemic aid money.
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