Aaron Nicodemus

The Securities and Exchange Commission (SEC) delayed implementation of its climate-related disclosure rule until the courts can rule on appeals filed in response to the controversial policy.

A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts

Gurbir Grewal, director of the Securities and Exchange Commission's Division of Enforcement, laid out general principles for "proactive compliance" to avoid making false or misleading claims about the capabilities of artificial intelligence products and services.

The Department of Justice launched a new pilot program that encourages voluntary self-disclosure by corporate executives who are themselves involved in financial misconduct, with the incentive of a nonprosecution agreement for those who help an agency investigation.

Examiners with the Securities and Exchange Commission (SEC) found investment advisory firms have generally done well creating processes to comply

A subsidiary of Thailand-based SCG Chemicals Co. agreed to pay a $20 million fine to the Treasury Department's Office of Foreign Assets Control (OFAC) over “egregious” violations of sanctions against Iran.