Aaron Nicodemus is a Reporter at Compliance Week. He covers regulatory policy and compliance trends, with a focus on financial services, cybersecurity, and the intersection of artificial intelligence and compliance. Aaron's work has been featured in the International Compliance Association and Compliance Week.
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Aaron Nicodemus predominantly covers legal and compliance aspects within the finance industry, especially focusing on government announcements and policy regulations. His articles primarily revolve around banking, compliance, money laundering, financial regulations, and SEC-related topics.
Given his focus on legal & compliance and finance & economy themes, Aaron would likely be interested in receiving pitches from individuals with expertise in these areas. The ideal sources for him might include professionals working directly in the fields of compliance or law related to financial institutions or those closely following regulatory developments.
While Aaron does not have a specific geographic focus mentioned, he appears to cover global issues related to banking and financial regulations without being limited by geography.
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By: Aaron Nicodemus, Aly McDevitt
Change is likely coming to the US Securities and Exchange Commission’s (SEC) enforcement priorities with the pending handover of the White House to Republican President-elect Donald Trump. Adjust your compliance priorities accordingly.
By: Aaron Nicodemus
The Department of Justice's Evaluation of Corporate Compliance Programs has made the importance of artificial intelligence governance frameworks clear, but it didn't say what role compliance should play. Here's the answer.
By: Aaron Nicodemus
When the DOJ released its revised Evaluation of Corporate Compliance Programs, it turned some heads. Tucked into a section on risk assessments was a strongly worded series of questions that appeared to shoulder compliance teams with the responsibility for ensuring the safe use of AI tools by their firms.
Financial services firm Cantor Fitzgerald will pay a $6.75 million fine to the Securities and Exchange Commission for making misleading statements regarding two special purpose acquisition companies that it controlled.
A U.S. Appeals Court overturned a Securities and Exchange Commission rule that had required companies listed on the Nasdaq stock exchange to disclose whether their boards had women or minority members–and if not, why not.
By: Aaron Nicodemus
New York-based SeaCrest Wealth Management will pay a $375,000 fine for failing to properly prevent a cherry-picking scheme perpetrated by one of its investment advisers.
By: Aaron Nicodemus
McKinsey & Co. will pay $650 million in penalties to the U.S. Department of Justice (DOJ) to settle charges that it advised Purdue Pharma on how to "turbocharge" the sale of Oxycontin in the middle of the U.S. opioid crisis.
By: Aaron Nicodemus
The U.K. Financial Conduct Authority apologized to investors in peer-to-peer investment firm Collateral for not acting swiftly enough to prevent Collateral from defrauding its customers.
Aviation maintenance services provider AAR Corp. will pay nearly $56 million to settle charges that it violated the Foreign Corrupt Practices Act when it paid bribes to government officials in Nepal and South Africa.
USAA Federal Savings Bank has been hit with its third cease and desist order from the Treasury Department’s Office of the Comptroller of the Currency in the past five years for failing to correct unsafe and unsound banking practices.
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