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 ...

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

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

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

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

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

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

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

Brexit, London-based Barclays became the first British bank to scrap bonus caps for its traders that were meant to curb ...

The proliferation of AI, as well as the promised business cases promoting its use, has led companies around the world to ...

Artificial intelligence may be one of the hottest things in the business world as the latest tech trend du jour, politicians ...