SEC CHARGES UTILITY COMPANY ENTERGY CORP. WITH INTERNAL ACCOUNTING CONTROLS VIOLATIONS
December 23, 2024

The Securities and Exchange Commission announced that Entergy Corporation, a Louisiana-based utility company, agreed to pay a $12 ...

SEC CHARGES JOHN DEERE WITH FCPA VIOLATIONS FOR SUBSIDIARY"S ROLE IN THAI BRIBERY SCHEME
September 11, 2024

The Securities and Exchange Commission announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10...

SEC CHARGES IDEANOMICS AND THREE SENIOR EXECUTIVES WITH ACCOUNTING AND DISCLOSURE FRAUD
August 12, 2024

The Securities and Exchange Commission announced settled fraud charges against Ideanomics, Inc., formerly known as Seven Stars Clo...

U.S. REGULATORS SANCTION CITI FOR ONGOING COMPLIANCE ISSUES
July 12, 2024

Citigroup Inc. is being fined US$135.6 million by U.S. banking regulators for failing to make enough progress at improving its int...

SEC CHARGES R.R. DONNELLEY & SONS CO. WITH CYBERSECURITY- RELATED CONTROLS VIOLATIONS
June 20, 2024

The Securities and Exchange Commission announced that R.R. Donnelley & Sons Company (RRD), a global provider of business communica...

FCA FINES CGML £27,766,200 FOR FAILURES IN ITS TRADING SYSTEMS AND CONTROLS
May 23, 2024

Failures in the firm’s systems and controls led to US$1.4bn of equities being sold in European markets when they should not have b...

ESMA SANCTIONS RATING AGENCY
March 25, 2024

German credit rating agency Scope Ratings GmbH has been sanctioned for breaching regulatory requirements when it comes to handling...

SEC CHARGES GLOBAL SOFTWARE COMPANY SAP FOR FCPA VIOLATIONS
January 11, 2024

The Securities and Exchange Commission announced charges against global software company SAP SE for violations of the Foreign Corr...

CHARTER COMMUNICATIONS TO PAY $25 MILLION PENALTY FOR UNAUTHORIZED STOCK BUYBACKS
November 15, 2023

The Securities and Exchange Commission announced settled charges against Charter Communications Inc. for violating internal accoun...

CIRO SANCTIONS POLLITT & CO. INC. FOR INTERNAL CONTROL VIOLATIONS
November 6, 2023

CIRO sanctioned Pollitt & Co Inc. for internal control violations. CIRO found that between January and December 2020, Pollitt & Co...