By Dave Lefort2019-03-15T19:26:00
In his latest editorial, Compliance Week Editor in Chief Dave Lefort applies what he learned at CW West to recent insider scandals and provides several compliance-related takeaways.
2019-02-13T15:00:00Z By Jaclyn Jaeger
The Securities and Exchange Commission today filed insider trading charges against a former senior attorney at Apple whose duties included executing the company’s insider trading compliance efforts.
2025-08-18T14:12:00Z By Oscar Gonzalez
The owner of a water machine vending company and a portfolio manager were allegedly behind a Ponzi-like scheme that raised more than $275 million, according to the U.S. Securities and Exchange Commission.
2025-08-15T18:59:00Z By Aly McDevitt
As regulators shift toward rewarding transparency, self-regulation and self-reporting, the way PFS Investments handled a longstanding problem serves as an example of how proactive remediation can turn a costly compliance error into a manageable regulatory outcome.
2025-08-07T20:41:00Z By Aaron Nicodemus
In covering the compliance industry for the past five years at Compliance Week, I’ve learned a few things.
2025-03-11T14:37:00Z By Markus Hornburg, CW guest columnist
CFOs are tasked with overseeing an organization’s entire financial processes, not least ensuring that financial operations remain compliant with the multitude of global regulations. It’s a heavy burden to carry that might be alleviated slightly with the help of artificial intelligence, writes Markus Hornburg, head of compliance at Basware.
2025-01-30T16:32:00Z By Jeff Dale
Having worked for Compliance Week for three years, I’ve found it remarkable how compliance professionals can be so consistently upbeat about their plight. An often refrain in compliance circles is “be comfortable with being uncomfortable.” As difficult as the job can be, that clearly doesn’t mean it can’t be fun.
Site powered by Webvision Cloud