By Jaclyn Jaeger2016-01-27T15:45:00
A jury at Southwark Crown Court has found five individuals not guilty of conspiracy to defraud in connection with the U.K. Serious Fraud Office’s ongoing criminal investigation into the manipulation of LIBOR. The SFO alleged that all six conspired with Tom Hayes, who was convicted after trial and sentenced last ...
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.
2025-11-06T19:01:00Z By Adrianne Appel
Four U.S. citizens were arrested in California Wednesday in connection with a massive, $346 million international credit card fraud scheme based in Germany, in which compliance officers were allegedly complicit, according to the DOJ.
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