By
Jaclyn Jaeger2020-04-14T17:41:00
The SEC announced charges against a former Goldman Sachs exec for violating the anti-bribery provisions of the FCPA, but the firm was not charged in the case because of the due diligence measures it took.
2021-06-24T20:54:00Z By Jaclyn Jaeger
The SEC obtained final judgment against a former Goldman Sachs executive charged with violating the FCPA by orchestrating a bribery scheme to help a client win a power plant contract in the Republic of Ghana.
2020-10-22T19:37:00Z By Kyle Brasseur
SEC Commissioner Hester Peirce revealed in a recent speech that she is considering developing a draft framework that would aim to clarify when the Commission may seek personal liability in compliance cases.
2025-12-09T20:40:00Z By Ruth Prickett
A compliance officer is facing charges for laundering $7 million in a complex legal case in Switzerland. Swiss prosecutors have charged Credit Suisse, and one of its former employees, with failing to maintain adequate controls.
2025-12-09T14:32:00Z By Oscar Gonzalez
The U.S. Consumer Financial Protection Bureau’s Supervision Division introduced a new “humility pledge” last month that examiners will read aloud at the start of each oversight engagement. It’s another shift in how the organization handles itself under the Trump administration.
2025-12-03T17:18:00Z By Adrianne Appel
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.
2025-12-02T21:52:00Z By Adrianne Appel
A tech company that stores student information for schools has agreed to implement a data security program and report to the Federal Trade Commission for 10 years, after security failures led to data for 10 million students being breached.
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