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Latest News in Compliance

• May 31, 2024

  Thrivent Unit To Pay FINRA $325K Over Lax Forgery Controls

  Financial services company Thrivent Investment Management Inc. has agreed to pay $325,000 to resolve Financial Industry Regulatory Authority allegations that it failed to have adequate controls in place to prevent its registered representatives from forging customer signatures over a seven-year period.

• May 31, 2024

  'You Didn't Do It': Antitrust Judge Rips Apple's Doc Production

  A California federal judge deciding whether Apple complied with her ban on App Store anti-steering rules ordered Apple for a second time Friday to produce documents, telling Apple's counsel "the whole point" is to get documents relevant to Apple's decision-making regarding its new 27% fee "and you didn't do it."

• May 31, 2024

  Colo. AI Bias Law Lays 'Foundation' For New State Patchwork

  Colorado's trailblazing legislation for regulating high-risk uses of artificial intelligence is likely to inspire other states to act, although a host of "reservations" about the measure from advocates and even Colorado's governor are likely to result in a fragmented national landscape as other states' legislatures use the measure as a launching point rather than a model they'd want to fully replicate. 

• May 31, 2024

  Nigerian Fintech's Execs Sued Over Alleged Company Fraud

  The current and former top brass of Nigerian fintech company Tingo Group Inc. have been hit with a derivative suit in New Jersey federal court over revelations of fraud at the company, which has led to other litigation, including actions launched by the U.S. Securities and Exchange Commission and the U.S. Department of Justice.

• May 31, 2024

  Biden Vetoes Bid To Nix SEC Crypto Accounting Guidance

  President Joe Biden on Friday blocked a Congressional resolution to overturn the U.S. Securities and Exchange Commission's controversial crypto accounting guidance, saying the measure would "inappropriately constrain" the agency's ability to address future issues.

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