By
Kyle Brasseur2022-04-04T11:54:00
Financial analytics provider S&P Global agreed to pay $78,750 as part of a settlement with the Office of Foreign Assets Control regarding alleged dealings with sanctioned Russian state-owned oil company Rosneft in 2016 and 2017.
2023-02-21T20:07:00Z By Aaron Nicodemus
Raiffeisen Bank International said it received a request for information from the Treasury Department’s Office of Foreign Assets Control regarding its business activities related to Russia and Ukraine.
2022-11-15T18:51:00Z By Adrianne Appel
Credit rating agency S&P Global Ratings agreed to pay $2.5 million and improve its compliance practices to settle allegations by the SEC that its marketing team pressured the ratings team concerning the rating of a particular mortgage-backed security transaction.
2022-03-18T17:04:00Z By Jaclyn Jaeger
To help sort through the gray area of evolving sanctions and export control restrictions against Russia, chief compliance officers should consider a handful of key best practices.
2025-11-13T20:34:00Z By Jaclyn Jaeger
The DOJ dropped a June 2024 indictment against a Cassava Sciences advisor, closing a case tied to an alleged short-selling scheme and related government probes. The case was criticized for fundamental flaws in evidence and legal procedures.
2025-11-10T21:16:00Z By Adrianne Appel
The former U.S. chief compliance officer of hedge fund firm Capula Investment Management has blown the whistle against his former employer, alleging he was terminated for raising concerns about improper expensing practices.
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
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