By Jaclyn Jaeger2017-11-28T14:30:00
The Commodity Futures Trading Commission brought 49 enforcement-related actions in the fiscal year that ended Sept. 30, 2017, including significant actions to root out manipulation and spoofing and to protect retail investors from fraud, according to the agency’s enforcement results for FY 2017.
2025-11-10T21:16:00Z By Adrianne Appel
The former U.S. chief compliance officer of hedge fund firm Capula Investment Management has blown the whistle against his former employer, alleging he was terminated for raising concerns about improper expensing practices.
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
2025-11-06T19:06:00Z By Jaclyn Jaeger
Compliance Week recently interviewed Charles Duross, former Chief of the DOJ’s Fraud Section’s FCPA Unit, to talk about the Department of Justice’s recently revised monitorship policy.
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