IT Compliance Advisor:

Financial regulations


October 29, 2015  12:27 PM

Goldman Sachs faces $50 million fine to settle document leak case

Fran Sales Fran Sales Profile: Fran Sales
Compliance, Finance, Financial regulations, grc, regulatory compliance, SEC, SOX

This week, Goldman Sachs agreed to pay a $50 million fine to settle a case in which a former employee leaked confidential information from the New York Fed. Also in the news: Bristol-Myers Squibb and other pharma companies face foreign bribery probes; a study found that earnings misstatements are...

July 9, 2015  9:25 PM

SEC commissioner calls for expanded Reg SCI; PCI SCC updates P2P standard

Fran Sales Fran Sales Profile: Fran Sales
Compliance, cybersecurity, Data Encryption, Dodd-Frank, Financial regulations, grc, PCI, PCI DSS, regulatory compliance, SEC

SEC commissioner Luis Aguilar strongly urged his colleagues at a cybersecurity conference last month to push Reg SCI up on their priority lists, particularly in terms of widening the...

May 28, 2015  1:31 PM

Wall Street, small banks still plagued by regulatory compliance enforcement

Fran Sales Fran Sales Profile: Fran Sales
Banking industry, Chief Compliance Officer, Compliance, Dodd-Frank, Financial fraud, Financial industry, Financial regulations, grc, regulatory compliance

If recent headlines are any indication, Wall Street banks and other financial institutions continue to garner poor marks when it comes to regulatory compliance: Earlier this month, several major global banks pleaded guilty to federal accusations regarding the rigging of foreign exchange rates. Also...


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