Compliance Week11h
PCAOB fines KPMG units $3.4M, PwC Singapore $1.5M for audit, independence violations
Nine affiliates of KPMG agreed to pay a total of nearly $3.4 million for alleged violations of audit and quality control ...
Compliance Week1d
EU drives ‘omnibus’ of simplifications through landmark sustainability reporting directives
The European Commission has adopted proposals for radical simplifications to the EU's trailblazing environmental regulations.
Compliance Week1d
EU drives ‘omnibus’ of simplifications through landmark sustainability directives
The European Commission has adopted proposals for radical simplifications to the EU's trailblazing environmental regulations.
Compliance Week2d
Robinhood pays $30M in fines, restitution for faulty AML program, customer disclosures
Robinhood will pay nearly $30 million in penalties for violating Financial Industry Regulatory Authority rules with ...
Compliance Week2d
Firm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
Two executives at New York-based Momentum Advisors, including the firm's chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
Compliance Week3d
Learn to identify and redirect unethical behavior at CW Ethics & Compliance Summit
A panel at Compliance Week's Ethics and Compliance Summit will use interactive exercises, real-world case studies, and DOJ ...
Compliance Week3d
Two senators want to know: What’s the legal basis for suspending enforcement of the CTA?
Two senators behind the Corporate Transparency Act have demanded that U.S. Treasury Secretary Scott Bessent justify his ...
Compliance Week3dOpinion
Why are chief financial officers struggling to stay compliant?
CFOs are tasked with overseeing an organization's entire financial processes, not least ensuring that financial operations ...