Editor's Blog
Four Strategic Ways AI Can Strengthen Your AML Program
GUEST BLOG POST Money laundering facilitates crime, threatens our national security, distorts markets, and has a devastating economic and social...
Research Digest
SEC Sets Record Year in Enforcement with $8.2 Billion in Fines
T he Securities and Exchange Commission announced that it filed 583 total enforcement actions in fiscal year 2024, while obtaining...
Insight 360°
Managing Compliance in a Remote Work Environment
W e all know about the great migration to "work from home" that occurred during COVID-19 pandemic starting in 2020...
Featurednews
Deutsche Bank’s DWS Group Fined for Greenwashing Allegations
Deutsche Bank’s asset-management arm DWS Group agreed to a fine of 25 million euros, or $27 million to the Frankfurt Public Prosecutor’s office to settle allegations of greenwashing. The allegations were brought by Frankfurt prosecutors after its investigation into the firm’s environmental and social investing credentials. Greenwashing is when a
Jacob Horowitz
April 3, 2025
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Nasdaq Imposes Stricter IPO Listing Standards on Small Companies
Nasdaq proposed a change in its initial listing requirements for small companies that wish to conduct an initial public offerings. This change would effectively harden its listing standards, making it more difficult for smaller companies to list on the Nasdaq. According to the new rule, Nasdaq will require that companies
SEC Withdraws Defense of Climate Disclosure Rules
The Securities and Exchange Commission announced, in a letter to the Eighth Circuit court, that it has voted to no longer defend rules requiring companies to disclose climate-related risks, greenhouse gas emissions, and their impact on business operations. The original rules requiring sch disclosure was adopted last year under the
FINRA Fines Brokerage Firm and Suspends Its CCO For Compliance Failures
The Financial Industry Regulatory Authority announced that it fined broker-dealer United First Partners (UFP) and suspended its chief compliance officer for allegedly failing to implement an adequate supervisory system designed to supervise the firm’s outside brokerage accounts. UFP’s primary business is providing brokerage and research services to institutional customers. As
