By
Aaron Nicodemus2021-04-22T17:38:00
The Securities and Exchange Commission has named Alex Oh to lead an Enforcement Division expected to be more aggressive under new Chair Gary Gensler.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2021-06-29T19:20:00Z By Kyle Brasseur
The SEC announced the appointment of New Jersey Attorney General Gurbir Grewal as director of its Enforcement Division. He is the second individual to be named to the position in three months after the first pick resigned.
2021-04-28T21:38:00Z By Kyle Brasseur
Alex Oh resigned as head of the Securities and Exchange Commission’s Enforcement Division for personal reasons after less than one full week on the job.
2021-04-20T21:43:00Z By Aaron Nicodemus
The Senate voted Tuesday to extend Gary Gensler’s term as chair of the Securities and Exchange Commission through 2026, cementing his control of the top regulator of U.S. financial markets.
2025-12-18T18:28:00Z By Adrianne Appel
The Federal Trade Commission allegations against Uber, alleging deceptive billing and subscription cancellations, have snowballed, with 21 states and the District of Columbia joining the lawsuit.
2025-12-17T20:09:00Z By Adrianne Appel
The 2025 year has been so rich with compliance stinkers, and rife with poor judgment, compliance missteps, outright malfeasance and greed, greed, greed, that it was almost impossible to choose just six epic compliance failures from this year’s massive poop pile.
2025-12-11T21:18:00Z By Ruth Prickett
Global organised crime is booming, and only 1 to 2 percent of the $4 trillion black economy is intercepted, according to figures from the Financial Action Task Force. Its new guidance suggests that countries should focus on rapid investigations, collaborative intelligence gathering, and confiscating the proceeds of criminal activity.
Site powered by Webvision Cloud