How Does a Compliance Officer Blow the Whistle – And What Happens Then?
Compliance officers eligible to participate in the SEC and CFTC whistleblower programs must navigate strict rules. Speaking up always carries ...
Tag: CFTC
The Cost of Noncompliance is Rising – How Regtech Can Help
In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the ...
Can Compliance Officers Be Whistleblowers?
Whistleblower award programs had record-breaking years in 2018, with more than $243 million in award payouts. Attorneys Michael Filoromo and ...
A Look Back on the CFTC’s Robust Year in Enforcement
Gregory S. Kaufman and Amber S. Unwala of Eversheds Sutherland (US) LLP review enforcement activity by the Commodity Futures Trading ...
The CFTC Wants You to Turn Yourself In
Commission Prepares to Implement Self-Reporting Program The Director of the Division of Enforcement at the Commodity Futures Trading Commission (CFTC) ...
Cyber Crime is Professional
This year, we’ve seen some significant, high-profile cyber crime, from email hacks to cyber bank theft. Because the attackers and ...
Cognitive Risk Framework for Cybersecurity
Despite the fact that organizations are spending more than ever on cybersecurity, the threats continue to increase. Cyber risk is ...
Social Media Sites: An Open Door for Financial Fraud
As the use of social media becomes intertwined with daily business activity, a new threat is emerging: hackers are finding ...
Rethink Cybersecurity to Reduce Risk of Hacks
Companies must be preparing for the eventuality of a data breach; it’s not a matter of if, but when a ...
- Eric D. Lyons, et al. April 23, 2019SEC Halts Misappropriation and Fraudulent Securities Offering
- David M. Loflin April 22, 2019SEC Charges Microcap Fraudster with Running a Pump-and-Dump Scheme
- Kimberly Sredich April 19, 2019SEC Charges Kimberly Sredich with Misappropriation Scheme
Corporate Compliance Insights
CCI is the Web's premier independent news source for compliance, ethics, audit & risk. CCI is owned and managed by CCI Media Group LLC.
