An international commodities trading company pled guilty and agreed to pay monetary penalties to resolve DOJ charges for violating the Foreign Corrupt Practices Act.

The FDIC summarized the results of consumer compliance examinations of supervised institutions in 2023 and offered recommendations to strengthen compliance management systems.

A firm settled FINRA charges for supervisory failures concerning escrow accounts in contingency offerings.

Senate Republicans challenged the SEC to justify its proposal to expand Regulation Systems Compliance and Integrity to include broker-dealers.

The Mississippi Secretary of State issued a cease and desist order to an investment adviser as to the adviser's inconsistent statements to Mississippi investors on ESG strategies.