By
Kyle Brasseur2021-08-31T16:42:00
The Securities and Exchange Commission penalized eight firms across three separate actions for breaches of employee email accounts that exposed the personal information of thousands of customers in each case.
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2023-03-15T17:45:00Z By Kyle Brasseur
The Securities and Exchange Commission proposed amendments to its regulation requiring broker-dealers, investment companies, and registered investment advisers to establish policies and procedures to safeguard customer records and information.
2022-10-25T19:08:00Z By Kyle Brasseur
A pair of investment advisers owned by Cetera Financial Group must pay a total of more than $8.6 million as part of a final judgment obtained by the Securities and Exchange Commission alleging the defrauding of Cetera advisory clients.
2025-12-31T12:00:00Z By Aaron Nicodemus and Oscar Gonzalez
This year’s compliance triumphs were all born out of compliance fails. In some cases, it was a regulator finding fault and demanding change. In others, acquiring companies noticed something a little fishy in their new acquisition. What formed a compliance triumph in every case wasn’t the mistake; it was the ...
2025-12-24T16:46:00Z By Jaclyn Jaeger
Companies that import goods into the United States will face heightened enforcement scrutiny for attempted acts of customs fraud, including tariff evasion, under the Trump administration. Thus, chief compliance officers and in-house counsel face a new kind of pressure to ensure they are mitigating risk in this area.
2025-12-24T13:54:00Z By Adrianne Appel
The chief operating officer of a plastic resin importer has pleaded guilty to intentionally falsifying documents to avoid paying tariffs on goods from China, the Department of Justice (DOJ) announced.
2025-12-23T21:50:00Z By Adrianne Appel
Federal investigators have announced progress in dismantling an online criminal operation that steals bank account information by mimicking legitimate bank websites.
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