By
Aaron Nicodemus2021-09-02T16:55:00
Jason Rhodes, the co-founder and chief risk and compliance officer of a Connecticut-based investment fund, was sentenced to 48 months in prison and ordered to pay more than $25 million in restitution for his role in a “Ponzi-like” scheme.
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2020-07-27T13:01:00Z By Aaron Nicodemus
If you’re a small investment firm owner acting as your firm’s chief compliance officer, here are some scary stories that might keep you up at night.
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.
2026-02-05T23:22:00Z By Oscar Gonzalez
At Compliance Week’s recent Artificial Intelligence and Compliance event, one message came through clearly: Companies are moving quickly to adopt AI, while compliance programs are still trying to catch up.
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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