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Compliance Week
23 小时
Amex to pay $230M in penalties to resolve charges it deceived customers, banking partner
American Express will pay approximately $230 million in fines and penalties to settle allegations that it deceptively ...
Compliance Week
22 小时
SEC fines LPL Financial $18M for failed due diligence on new, high-risk accounts
Broker-dealer LPL Financial will pay $18 million to settle charges by the Securities and Exchange Commission that its ...
Compliance Week
1 天
SEC fines Wells Fargo $35M, Merrill Lynch $25M over improper cash sweeps
Wells Fargo and Merrill Lynch will pay $35 million and $25 million, respectively, to settle allegations by the Securities and ...
Compliance Week
2 天
The Rise, Fall, and Rise of Crypto: Lessons from FTX amidst a changing regulatory landscape
As President Trump assumes power, the crypto industry is in the spotlight. Trump has tapped popular crypto advocate Paul ...
Compliance Week
4 天
GM sued by FTC for selling location and behavioral data without drivers' consent
General Motors failed to disclose to customers that it tracked their precise locations and driving behavior and sold the data ...
Compliance Week
4 天
Cash App owner Block to pay $175M over fraud caused by lax consumer protection practices
Block, the owner of Cash App and Square, will pay $175 million to settle allegations that its lax consumer protection ...
Compliance Week
4 天
SEC fines cannabis hedge fund $150K for bogus AML policies, ties to Russian oligarch Abramovich
Cannabis hedge fund Navy Capital Green Management agreed to pay $150,000 to settle charges levied by the Securirties and ...
Compliance Week
6 天
FDA bans Red No. 3 dye after decades of concerns over possible health risks
The U.S. Food and Drug Administration announced Wednesday it has revoked authorization for color additive Red No. 3 from food ...
Compliance Week
6 天
SEC issues $63M in fines to dozen firms in ongoing off-channel comms sweep
Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise ...
Compliance Week
5 天
CJEU ruling adds to GDPR liability over unfair competition, AML/CFT
Legal cases and fines for noncompliance with EU's GDPR could rise sharply after a court found that a breach was a source of ...
Compliance Week
6 天
Musk sued by SEC for failing to disclose Twitter stock purchases quickly enough
Elon Musk, the world's wealthiest person and the apparent right-hand man of incoming U.S. president Donald Trump, has been ...
Compliance Week
8 天
New CFPB payment privacy rule on the way for gaming companies, cryptocurrencies, Big Tech
The Consumer Financial Protection Bureau has issued a proposed rule aimed at protecting the privacy of the public when using ...
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