By Kyle Brasseur2019-09-05T17:09:00
Options Clearing Corp. will pay a combined $20 million in penalties to the SEC and CFTC to settle charges that it failed to implement certain risk management policies as required by U.S. laws and regulator rules.
2023-02-17T20:14:00Z By Adrianne Appel
Options Clearing Corp. agreed to pay $22 million as part of settlements with the Securities and Exchange Commission and Commodity Futures Trading Commission addressing charges the company failed to comply with internal rules to manage risks.
2025-09-18T18:28:00Z By Adrianne Appel
About 125 federal regulations deemed anticompetitive by President Trump are poised for possible elimination, following recommendations delivered Wednesday to the Office of Management and Budget (OMB).
2025-09-18T18:21:00Z By CW Staff
Jeffrey Epstein’s finances are back in the spotlight with new reports this month, but Compliance Week published an in-depth investigation into the anti-money laundering compliance angle of the story 18 months ago. Compliance Week’s Aly McDevitt went on WBAI Monday to discuss her investigation
2025-09-17T17:20:00Z By Adrianne Appel
A Florida seafood company executive has pleaded guilty to conspiring with competitors to fix the prices he paid to local fishers, an effort that impacted more than $8 million in wholesale fish and cut the pay of hundreds of fishers, the Department of Justice said.
2025-09-16T20:11:00Z By Adrianne Appel
The former CEO of a Georgia clothing business faces 25 years in prison for bribing Honduran officials to win $10 million in uniform contracts in Honduras, after being caught up in a Department of Justice Anticorruption Task Force.
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.
Site powered by Webvision Cloud