By Bruce Carton2014-12-09T12:15:00
In July 2014, I noted here that although it had taken over five years, the wheels of justice were finally in motion against B. Ramalinga Raju, former chairman and CEO of Satyam Computer Services, as India's securities regulator had ordered Raju, his brother, and two others to disgorge $307 million. ...
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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