By Adrianne Appel2022-09-23T19:45:00
A former Ernst & Young business development director agreed to pay $23,900 to settle charges levied by the Securities and Exchange Commission (SEC) he engaged in insider trading.
Michael Weiss had access to his clients’ confidential and sensitive business information while working for the Big Four firm, according to the SEC’s complaint, filed Wednesday in U.S. District Court for the Southern District of New York.
On four occasions, after learning about pending acquisitions, prospective business strategies, and financial projections concerning four of his client companies, Weiss purchased shares of those companies’ respective stocks, the SEC said. His alleged misconduct occurred between July 2014 and September 2015.
2025-09-12T19:40:00Z By Oscar Gonzalez
The DOJ sued Uber Thursday, alleging it violated the Americans with Disabilities Act (ADA) by denying people with disabilities equal access to its services.
2025-09-11T20:53:00Z By Neil Hodge
Europe’s banking regulator warns that weak compliance at fintech, regtech, and crypto firms may let money laundering and terrorist financing risks slip through. The EBA also found EU regulators’ approaches are often inconsistent and unclear.
Provided by SAI360
Join this timely and practical webinar as we break down the DOJ’s latest FCPA guidance and explore what these developments mean for compliance programs in the real world.
2025-09-10T22:24:00Z By Adrianne Appel
California, Colorado, and Connecticut launched a joint enforcement sweep against businesses that fail to honor consumers’ online opt-out requests, the states announced Tuesday.
2025-09-09T16:51:00Z By Oscar Gonzalez
A Houston-based freight forwarder, Fracht FWO Inc., will pay $1.6 million for violating U.S. sanctions tied to Venezuela and Iran, according to the Treasury Department’s Office of Foreign Assets Control (OFAC). The fine comes as OFAC ramps up enforcement in recent months.
2025-09-08T14:27:00Z By Adrianne Appel
BNY, Citigroup, Santander, UBS, and two other financial institutions paid a total of $8.3M to settle separate compliance violations with the CFTC.
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