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Correction
In a recent post in the Filing Cabinet, we incorrectly connected a recent enforcement action against Theranos founder and CEO Elizabeth Holmes with Mylan, the maker of the EpiPen.
Any implication or connection between the two companies was incorrect. Mylan had no connection to the SEC release.
Compliance Week regrets the error.
Credit Suisse became the first major Swiss bank to be prosecuted for money laundering in the country after the Federal Criminal Court of Switzerland found the bank guilty of washing money connected to a Bulgarian drug smuggling syndicate.
Barclays Capital agreed to pay $2.8 million as part of a settlement with the Financial Industry Regulatory Authority for “failure to comply with customer confirmation and related supervision rules” that led to disclosure lapses.
UBS Financial Services agreed to pay approximately $25 million to settle fraud charges brought by the SEC that cited “inadequate” training and supervisory oversight of the firm’s financial advisers regarding a complex options trading strategy.
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