By GRC Announcements2018-11-28T16:15:00
Client Lifecycle Management (CLM) solutions provider Fenergo announced the creation of an app for financial institutions that deploy Salesforce.
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2026-03-12T20:00:00Z By Jaclyn Jaeger
Recent pronouncements made by the U.S. Securities and Exchange Commission leadership, alongside the recent overhaul of the SEC Enforcement Manual, collectively signal a back-to-basics enforcement approach that appears beneficial for companies in their dealings with the agency.
2026-03-11T21:35:00Z By Neil Hodge
The U.K. financial regulator’s move towards “impactful deterrence” could see smaller and mid-size firms come increasingly under the spotlight as the watchdog aims to tackle market-wide concerns instead of primarily focusing on large players capable of doing the most harm.
2026-03-06T20:43:00Z By Adrianne Appel
Financial services company Canaccord has been hit with an $80 million penalty by the U.S. Treasury’s Financial Crimes Enforcement Network (FInCEN)–the largest FinCEN penalty against a broker-dealer in its history.
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