By Bill Coffin2016-03-07T13:15:00
After watching the most recent Democrat and Republican Presidential debates, one begins to wonder what the next President will seek to achieve on various regulatory fronts. Between candidates’ promises to regulate more strongly, or to deregulate entirely, it looks like no matter who wins in November, compliance officers are poised ...
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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.
2026-03-06T19:41:00Z By Natalia Taft CW guest columnist
Changing governance and internal controls in response to recent enforcement actions cannot mask a fundamental deficiency: remediation is not changing the way decisions are being made, allowing the same mistakes to happen over and over.
2026-03-04T21:21:00Z By Adrianne Appel
Walmart has agreed to pay $100 million to settle allegations that it deceived delivery drivers about their pay and tips, the Federal Trade Commission announced.
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