2015-12-08T13:45:00Z By Joe Mont
Image: Faced with budget constraints, firms frequently turn to external professionals to supplement compliance programs—but the SEC has provided a laundry list of problems with that approach. “The SEC has not banned outsourced compliance in any way or said it is presumptively disfavored, but reading between the lines you get ...
Provided by AuditBoard
U.S. Banking regulators have moved to loosen traditional regulation and supervision in areas like capital requirements, stress testing and liquidity, while also being more receptive to innovation in areas including Artificial Intelligence and digital assets.
2025-10-08T18:28:00Z By Adrianne Appel
Charlie Javice, a former CEO who duped JPMorgan Chase into purchasing her start up company for $175 million, has been ordered to forfeit more than $22 million by the Department of Justice (DOJ) and to spend 7 years in jail.
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