Compliance Week7 小时
Apex Clearing Corp. to pay $3.2M over improper disclosures, distorted investor compensation
A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...
Compliance Week7 小时
Apex Clearing Corp. to pay $3.2M over improper disclosures, distorting investor payouts
A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the ...
Compliance Week2 小时
Bondi-led DOJ sharply pivots away from prosecution of corporate FCPA violations
The U.S. Department of Justice under new Attorney General Pam Bondi will de-emphasize white collar misconduct linked to bribes and foreign corruption, instead prioritizing corruption cases linked to ...