Compliance
The Bank of Nova Scotia Will Pay CFTC a Record-Setting $127.4 Million for Spoofing, False Statements, and Swap Dealer Compliance and Supervision Violations
On August 19, the Commodity Futures Trading Commission (CFTC) issued three orders filing and settling charges against The Bank of Nova Scotia (BNS). The orders resolve two separate enforcement actions, one involving charges of spoofing and making false statements and...
SEC Announces Rare Reward to Internal Compliance Whistleblower
In a rare move, the Securities and Exchange Commission has awarded a corporate compliance official nearly half a million dollars for reporting irregularities within his or her own company. The whistleblower reported the irregularities internally, then alerted the SEC when...
Why not beef up corporate compliance before you get caught?
Corporate compliance programs aim to make sure a company obeys laws and regulations. One problem with compliance -- companies can sometimes make more breaking the rules than following them. And they are complicated. So, they mount compliance programs for show...
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