A U.S.-based global chemicals company settled SEC charges for bribery and recordkeeping and internal accounting controls failures in violation of the Foreign Corrupt Practices Act.
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A healthcare services company, its former CFO and the company's controller settled SEC charges for accounting and disclosure violations that led the company to report inaccurately high net income and earnings per share.
A financial institution involved in travel-related and credit card services settled OFAC charges for violations of the Weapons of Mass Destruction Proliferators Sanctions Regulations.
The FDIC technology lab published a guide to help financial technology firms and third parties conduct business with banks.
The CFTC's final rule on trade options was published in the Federal Register. The rule amends the limited trade options exemption in the CFTC Regulations in order to substantially reduce and/or eliminate certain reporting and recordkeeping requirements for end users entering into trade options.