Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared ...

The 2025 year has been so rich with compliance stinkers, and rife with poor judgment, compliance missteps, outright ...

Concerns over competitors using AI pricing tools to fix prices have dominated antitrust discussions in the U.S. and EU.

President Donald Trump has directed the Securities and Exchange Commission (SEC) to review-and remove-any SEC rules or ...

The Federal Trade Commission allegations against Uber, alleging deceptive billing and subscription cancellations, have ...

European banks and financial institutions must prepare now for stringent new rules on third-party suppliers. A consultation ...

The U.K.'s financial regulator has set up a live-testing environment so that firms can road-test their Artificial ...

President Donald Trump has issued an executive order aimed at dismantling the artificial intelligence (AI) laws of California ...

Paxful, a crypto peer-to-peer network, will plead guilty to multiple federal criminal charges related to violations of the ...

A compliance officer is facing charges for laundering $7 million in a complex legal case in Switzerland. Swiss prosecutors ...

Companies are tightening oversight of third-party risks but still struggle to extend due diligence beyond their direct ...

The U.S. Consumer Financial Protection Bureau's Supervision Division introduced a new "humility pledge" last month that ...