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By Jane A. Norberg, Deputy Chief, Office of the Whistleblower, U.S. Securities & Exchange Commission 2019-01-15T14:24:31.257+00:00
Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact Editor in Chief Kyle Brasseur.
2023-10-02T19:42:00Z By Kyle Brasseur
New York-based broker-dealer Maxim Group agreed to pay an $800,000 fine in settling with the Securities and Exchange Commission regarding the firm’s alleged failures to file required suspicious activity reports and properly execute certain short sales.
2023-10-02T19:40:00Z By Jeff Dale
The Federal Trade Commission is partnering with Chile, Colombia, Mexico, and Peru to fight cross-border fraud, with other consumer protection authorities invited to join in the future.
2023-10-02T17:53:00Z By Kyle Brasseur
Goldman Sachs, JPMorgan Chase, and Bank of America agreed to pay penalties totaling $53 million across settlements with the Commodity Futures Trading Commission addressing alleged swap reporting failures among their respective affiliates.
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