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

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

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

FINRA announced the election of Jennifer Szaro, chief compliance officer and a managing equity owner at XML Securities and its affiliated registered investment adviser, XML Financial Group, to its ...

Safe-Guard Products International, provider of third-party private label protection products for the automotive, RV, marine, and powersports industries, announced the appointment of Alen Gong as chief ...

A "biblically responsible" investment adviser agreed to pay $300,000 and hire an independent compliance consultant to settle ...

The Federal Trade Commission took aim at the business models of some of the world's largest companies, publishing a ...

Waves of fallout from the collapse of cryptocurrency trading platform FTX continue to ripple, as accounting firm Prager Metis ...

Fintech innovator Cardless announced that Ailien Phan will be its chief compliance officer. Compliance Week accepts outside ...

Unipart, a supply chain solutions and performance improvement technologies partner, appointed Andy Pyne as chief ...

WS Audiology announced that Hea Vinskov has been appointed chief legal officer and general counsel, effective Oct. 21. Vinskov spent 10 years in senior legal positions at GN Store Nord, including ...