By
Aaron Nicodemus2022-07-25T17:50:00
The Securities and Exchange Commission utilized data analytics to detect suspicious trading activity and form the basis of three separate insider trading cases.
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2022-04-19T20:06:00Z By Jaclyn Jaeger
The Securities and Exchange Commission credited its risk-based data analytics initiative for resulting in its “highest penalty to date” against a publicly traded company that engaged in improper accounting to boost its quarterly earnings per share.
2020-12-14T19:23:00Z By Aaron Nicodemus
If your company isn’t making optimal use of data to enhance its compliance program, now is the time to start—before it’s too late.
2020-09-28T19:38:00Z By Aaron Nicodemus
A new risk-based data analytics initiative at the SEC has been credited for forming the basis of charges against two publicly traded companies for improper reporting of quarterly earnings per share.
2026-03-20T18:24:00Z By Adrianne Appel
Bank of America has agreed to settle a class-action lawsuit alleging know-your-customer and other failings in its dealings with convicted sex offender Jeffrey Epstein.
2026-03-19T21:08:00Z By Aaron Nicodemus
The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
2026-03-17T21:22:00Z By Oscar Gonzalez
Adobe agreed to a $150 million settlement with the U.S. Department of Justice over accusations that it concealed software termination fees and made it difficult for customers to cancel.
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