By Bruce Carton2016-02-29T10:45:00
U.S.-based Stanford Law School announced earlier this month that it has teamed up with law firm Sullivan & Cromwell to launch the new Foreign Corrupt Practices Act Clearinghouse. The FCPA Clearinghouse is a free, public resource that provides a comprehensive, searchable, and very useful database of enforcement actions and information ...
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.
2025-11-06T19:06:00Z By Jaclyn Jaeger
Compliance Week recently interviewed Charles Duross, former Chief of the DOJ’s Fraud Section’s FCPA Unit, to talk about the Department of Justice’s recently revised monitorship policy.
Site powered by Webvision Cloud