A federal appeals court struck down the Securities and Exchange Commission's private fund adviser rule, agreeing with ...

The Department of Justice's 90-day sprint to developing and implementing a pilot whistleblower rewards program ended ...

Banner Bank announced Executive Vice President Jim Costa was promoted to chief operating officer in addition to his role as ...

Registered investment adviser Heron Finance announced it hired Michael Jen as head of compliance. As head of compliance, Jen ...

Financial services company Freedom Holding Corp. announced the appointment of Jason Kerr as its first chief legal officer.

Swiss bank UBS announced Damian Vogel will be appointed group chief risk officer, effective July 1.

Digital financial services provider SoFi Technologies announced Stephen Simcock as general counsel. Simcock will lead SoFi’s legal department with the retirement of Rob Lavet, the company’s chief ...

Social media app TikTok’s parent company ByteDance announced John Rogovin will join the company as global general counsel. Rogovin served as general counsel for Warner Bros for more than a dozen years ...

Nearly 80 attendees are gathering at the Signia by Hilton in downtown Atlanta, Ga., for Compliance Week’s Wpmen in Compliance ...

The Department of Justice's Antitrust Division is examining how its policies and enforcement mechanisms are suited to handle ...

Swedish telecommunications giant Ericsson announced the conclusion of the independent compliance monitorship imposed on the ...

Compliance Week’s Aaron Nicodemus sat down for an exclusive chat with Hester Peirce, a commissioner at the Securities and ...