By Jaclyn Jaeger2016-04-26T21:30:00
Knowing what to expect in the event of a dawn raid and how to respond will help ensure not only that employees cooperate during an investigation, but also that the legal rights of the company remain protected. Jaclyn Jaeger explores how to avoid any missteps that can damage a company’s ...
2025-11-14T22:59:00Z By Neil Hodge
The U.K. has set out a new blueprint for AI regulation, which aims to slash bureaucracy and ramp up the safe adoption of new and emerging technology to unlock potential and boost investment.
2025-11-10T21:16:00Z By Adrianne Appel
The former U.S. chief compliance officer of hedge fund firm Capula Investment Management has blown the whistle against his former employer, alleging he was terminated for raising concerns about improper expensing practices.
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.
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