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Enforcement
The week in GRC: Wells Fargo to pay $1 billion to settle probes, and Cuomo pressures banks over NRA ties

Apr 20, 2018
Ben Maiden
– The Financial Times reported that BlackRock founder and CEO Larry Fink made $28 million last year, up by nearly 10 percent from 2016...Read more

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Enforcement
Canadian mining company settles FCPA case

Apr 02, 2018
Ben Maiden
A Canadian gold mining company has agreed to pay $950,000 to settle allegations that it violated anti-corruption legislation by...Read more
Enforcement
How to protect against subsidiary liability

Mar 19, 2018
Carmen Fonda and Daniel Mendelsohn, Venable
Companies both large and small enter new ventures all the time. Netflix was originally a DVD delivery service, Amazon sold only books...Read more
Enforcement
The week in GRC: SEC blocks CHX sales to Chinese investors, Avis Budget faces board seat tussle

Feb 16, 2018
Ben Maiden
– Bloomberg reported that Norway’s $1 trillion sovereign wealth fund – the world’s largest – signaled it will get tougher in weeding...Read more

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Enforcement
Citi unit settles research ratings case

Jan 03, 2018
Ben Maiden
Citigroup Global Markets (CGMI) has agreed to pay a total of around $11.5 million to settle allegations that over an almost five-year...Read more
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Enforcement
Next Financial Group settles Finra supervisory case

Dec 14, 2017
Ben Maiden
Houston-based Next Financial Group will pay a $750,000 fine and hire an outside consultant to check the adequacy of various compliance...Read more
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Enforcement
JPMorgan unit settles employee screening case

Nov 29, 2017
Ben Maiden
JPMorgan Securities has agreed to pay a $1.25 million fine and review certain of its systems and procedures to settle allegations it...Read more

April

The week in GRC: Wells Fargo to pay $1 billion to settle probes, and Cuomo pressures banks over NRA ties

The week in GRC: Wells Fargo to pay $1 billion to settle probes, and Cuomo pressures banks over NRA ties

– The Financial Times reported that BlackRock founder and CEO Larry Fink made $28 million...Read more

Canadian mining company settles FCPA case

Canadian mining company settles FCPA case

A Canadian gold mining company has agreed to pay $950,000 to settle allegations that it...Read more

March

How to protect against subsidiary liability

How to protect against subsidiary liability

Companies both large and small enter new ventures all the time. Netflix was originally a...Read more

February

The week in GRC: SEC blocks CHX sales to Chinese investors, Avis Budget faces board seat tussle

The week in GRC: SEC blocks CHX sales to Chinese investors, Avis Budget faces board seat tussle

– Bloomberg reported that Norway’s $1 trillion sovereign wealth fund – the world’s...Read more

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