The Financial Industry Regulatory Authority (FINRA) issued two separate fines against Merrill Lynch and BofA Securities ...

Broker-dealer TD Securities failed to prevent a trader from placing and then withdrawing thousands of false trades over the course of a year in part because its compliance department failed to follow ...

The Securities and Exchange Commission will host a virtual national seminar on Nov. 7 targeted toward chief compliance ...

Companies under criminal prosecution by the Department of Justice for any reason must show they have robust compliance for ...

Atlantic Music Group announced that Erica Bellarosa is promoted to general counsel. Bellarosa was earlier the executive vice president. She had joined in 2005.

A former Alzheimer's researcher manipulated the results of a Cassava Sciences drug, with the pharmaceutical company and its ...

IDEAYA Biosciences announced that Douglas Snyder joined the company as its senior vice president, general counsel.

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

The Public Company Accounting Oversight Board fined five consultancies, including Ernst & Young, as the agency continues its ...

U.S. and European law enforcement agencies have announced sanctions against two Russia-linked cryptocurrency platforms in their ongoing chase to snuff out Russian-linked financial platforms that ...

ASX’s Chief Risk Officer Hamish Treleaven has announced his intention to retire. Treleaven was appointed chief risk officer in March 2017.