First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.

Four U.S. citizens were arrested in California Wednesday in connection with a massive, $346 million international credit card ...

Most organizations would say they value stability. Predictable operations, consistent output, and well-defined processes are generally considered marks of maturity. The assumption is simple: if a ...

Compliance Week recently interviewed Charles Duross, former Chief of the Fraud Section's FCPA Unit, to talk about the ...

Approximately $9 billion of potential shadow-banking flows tied to Iranian networks in 2024, according to a new analysis from ...

Less than a year after a new rule required more of the U.S.'s biggest banks to draft "recovery" plans in case of failure, the ...

Insurance firms are warning that AI-washing could trigger a slew of cases against directors, and are adjusting their ...

As CFOs use AI to streamline operations, they face new compliance risks tied to accountability and algorithmic governance.

Texas Attorney General Ken Paxton sued two pharmaceutical companies for "deceptively marketing Tylenol to pregnant mothers" ...

Many companies have strong compliance policies to encourage cooperation with regulators and hold staff accountable, but these ...