Historically, the Securities and Exchange Commission has fiercely protects the rights of retail investors, and is constantly ...

A "biblically responsible" investment adviser agreed to pay $300,000 and hire an independent compliance consultant to settle ...

The Federal Trade Commission took aim at the business models of some of the world's largest companies, publishing a ...

FINRA announced the election of Jennifer Szaro, chief compliance officer and a managing equity owner at XML Securities and its affiliated registered investment adviser, XML Financial Group, to its ...

Waves of fallout from the collapse of cryptocurrency trading platform FTX continue to ripple, as accounting firm Prager Metis ...

Safe-Guard Products International, provider of third-party private label protection products for the automotive, RV, marine, and powersports industries, announced the appointment of Alen Gong as chief ...

First Horizon Advisors will pay a $325,000 fine to settle allegations from the Securities and Exchange Commission that it ...

WS Audiology announced that Hea Vinskov has been appointed chief legal officer and general counsel, effective Oct. 21.

Fintech innovator Cardless announced that Ailien Phan will be its chief compliance officer. Compliance Week accepts outside ...

Most businesses think more about their products than what they come wrapped in, but a recent U.K. penalty against Czech ...

Federal banking regulators approved a new rule for bank mergers that will require additional scrutiny of mergers for ...

Chinese authorities banned PwC's Chinese unit from performing audits in the country for six months, labeling the subsidiary's ...