By
Jaclyn Jaeger2020-01-08T13:01:00
Compliance officers need to step it up in 2020; a world of heightened risk means a world of heightened regulatory oversight.
2020-07-24T18:28:00Z By Jaclyn Jaeger
Taro Pharmaceuticals will pay a $205.7 million criminal penalty to resolve charges as part of the Justice Department’s ongoing investigation into the generic pharmaceutical industry.
2020-02-11T20:02:00Z By Aaron Nicodemus
The FTC will require the top five U.S. technology firms—Alphabet Inc. (Google), Amazon, Apple, Facebook, and Microsoft—to provide information on acquisitions not previously reported to the agency dating back 10 years.
2020-01-29T18:00:00Z By CW Staff
The Justice Department’s Antitrust Division has named Alexander Okuliar as deputy assistant attorney general, responsible for civil merger and conduct investigations and litigation.
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.
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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