Risk & Compliance

Risk & Compliance

Ad Giant WPP Fined $19M for FCPA Violations

The SEC says the company failed to properly supervise subsidiaries in foreign countries, resulting in bribery and other illicit schemes.
Fraud

Subprime Auto Securitization Was a ‘House of Cards’

The former principals of Honor Finance misrepresented the quality of loans that they packaged into a $100 million securities offering, the SEC says.
Cryptocurrency

U.S. Slaps Crypto Exchange With Sanctions

In an unprecedented enforcement action, the Treasury Department says Suex OTC facilitated the laundering of illicit proceeds from ransomware attacks.
Regulation

Coinbase Shelves ‘Lend’ Amid SEC Pushback

Having to scrap the lending program "is a major blow for Coinbase as the firm tries to diversify revenue beyond its trading fees.”
Fraud

SEC Brings First Crowdfunding Fraud Case

A Michigan businessman and two associates allegedly misrepresented that their crowdfunding offerings would raise money for cannabis real estate investments.
Ethics

Fed’s Powell Orders Review of Ethics Rules

The move follows the disclosure that Dallas Fed President Robert Kaplan made multiple trades worth $1 million or more last year in individual stocks.
Supply Chain

The Great Logistics Crunch

The chaos has laid bare the need to stop looking at foreign supply chains as just a way to save on costs.
Regulation

FTC Releases Study of Big-Tech Mergers

The report found that 616 deals of more than $1 million flew "under the radar" of antitrust reporting requirements between 2010 and 2019.
Fraud

Ex-Controller Testifies in Trial of Theranos CEO

So Han Spivey said Theranos provided investors with revenue projections that did not match the reality of its finances.
Fraud

App Annie Fined $10 Million for Misusing Data

The SEC says the mobile data and analytics firm used confidential information from app developers to induce trading firms to become subscribers.
The Economy

Inflation Pressures Forcing CFOs to Take Action

Experts may call consumer price increases 'transitory,' but fighting rising costs has become a priority for finance chiefs.
Regulation

Regulator Hits Wells Fargo With $250M Fine

The OCC says deficiencies in a Wells Fargo loan modification program constituted “reckless unsafe or unsound practices."
1 2 3 4 … 627

Latest Articles

Cash Management

Tesla and Square Are Up On Their Bitcoin Purchases

October 21, 2021
People

Management Transition Filing Sows Confusion

October 20, 2021
People

Charter Communications Appoints New CFO

October 20, 2021
Capital Markets

Could a Run on Stablecoins Disrupt the Commercial Paper Market?

October 19, 2021
Tax

Avalara Acquires CrowdReason

October 19, 2021