Keynote announcement: James Comey to headline Compliance Week 2020 on May 18-20 in Washington D.C. Register today to reserve your spot!
The Department of Justice is requiring Liberty Tax Service to greatly enhance its internal compliance controls as part of a proposed settlement with the tax preparation service provider over allegations of fraud and misconduct.
BGC Financial was accused of various supervision, reporting, and recordkeeping violations that went on for more than five years in a $3 million enforcement action from the CFTC.
Learn about the skill sets needed for compliance roles to succeed in the future, why security is becoming more important to compliance and supervision infrastructure, and compliance technology developments.
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