By
Aaron Nicodemus2022-06-22T17:04:00
A former Rite Aid compliance executive agreed to pay a civil penalty of $305,129 to resolve SEC insider trading charges regarding sale of company stock.
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2023-03-14T20:22:00Z By Aaron Nicodemus
E. Magnus Oppenheim & Co. must pay $50,000 and hire an independent compliance consultant to settle Securities and Exchange Commission charges of failing to implement compliance policies and procedures following the death of its founder and CCO.
2020-09-18T18:17:00Z By Aaron Nicodemus
Armed with insider information about problems with a merger with Walgreens, a Rite Aid compliance executive who oversaw its corporate code of conduct sold company stock to save himself and his family over $150,000, according to the SEC.
2026-02-06T15:34:00Z By Tom Fox
When a company rapidly adopts AI, compliance officers can be blindsided, tasked with governance almost immediately. Luckily, there is a guide from the U.S. Department of Justice to help.
2026-02-05T00:55:00Z By Ruth Prickett
Major accountancy firms in France are under investigation for anti-competitive practices. The French competition watchdog embarked on a series of “unannounced inspections” and removed documents relating to audit and reporting on Jan. 13.
2026-02-03T23:22:00Z By Neil Hodge
The European Commission has launched a formal investigation against Elon Musk’s X under the Digital Services Act over fears that its AI tool Grok may be producing and disseminating illegal material.
2026-02-03T22:57:00Z By Adrianne Appel
Three former executives at Archer-Daniels-Midland intentionally misled investors by inflating the performance of the company’s Nutrition unit, the U.S. Securities and Exchange Commission has alleged.
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