By
Jaclyn Jaeger2019-06-18T19:27:00
Wedbush Securities will pay more than $8.1 million to settle charges for the improper handling of “pre-released” American Depositary Receipts.
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2019-12-09T18:54:00Z By Jaclyn Jaeger
Broker-dealer Jefferies will pay $4 million to settle charges for the improper handling of “pre-released” American Depositary Receipts (ADRs), the Securities and Exchange Commission announced.
2019-08-19T14:42:00Z By Jaclyn Jaeger
Brokers Cantor Fitzgerald and BMO Capital Markets will combine to pay more than $4.5 million to settle charges of improper handling of “pre-released” American Depositary Receipts.
2026-02-06T15:34:00Z By Tom Fox
When a company rapidly adopts AI, compliance officers can be blindsided, tasked with governance almost immediately. Luckily, there is a guide from the U.S. Department of Justice to help.
2026-02-05T00:55:00Z By Ruth Prickett
Major accountancy firms in France are under investigation for anti-competitive practices. The French competition watchdog embarked on a series of “unannounced inspections” and removed documents relating to audit and reporting on Jan. 13.
2026-02-03T23:22:00Z By Neil Hodge
The European Commission has launched a formal investigation against Elon Musk’s X under the Digital Services Act over fears that its AI tool Grok may be producing and disseminating illegal material.
2026-02-03T22:57:00Z By Adrianne Appel
Three former executives at Archer-Daniels-Midland intentionally misled investors by inflating the performance of the company’s Nutrition unit, the U.S. Securities and Exchange Commission has alleged.
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