Last week, Canada-based gold mining company, Kinross Gold, settled a Foreign Corrupt Practices Act case with the Securities and Exchange Commission by agreeing to pay just shy of $1 million. While the SEC did not pursue the case on evidence of actual bribery, it did hit Kinross with charges of Read More
The Securities and Exchange Commission took aim at two compliance officers at a broker-dealer, alleging that they aided and abetted the brokerage’s failure to file reports on suspicious transactions. Aegis Capital Corp. failed to file reports on hundreds of transactions that were potentially related to the market manipulation of low-priced Read More
The newest release from the Internal Audit Foundation to support high-quality internal audit service delivery is now available. Applying the International Professional Practices Framework (IPPF), addresses the many changes included in the latest version of IPPF, such as a new mission state and the addition of a maturity model and Read More
