By Bruce Carton2016-08-10T10:30:00
A new hybrid group of professional whistleblowers and corporate employees is about to get paid massive sums for their efforts to uncover securities law violations in the foreign exchange markets. Bruce Carton reports.
2016-08-16T05:30:00Z By Joe Mont
A recent enforcement action and settlement by the Securities and Exchange Commission makes it clear that companies shouldn’t try to subvert their successful bounty programs for whistleblowers. Joe Mont reports.
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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