Gatekeepers
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First DMA review finds positive impact, emphasizes enforcement and future compliance risks
European Commission finds Digital Markets Act (DMA) fit for purpose, signalling continued enforcement and focus on AI and cloud computing.
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VC fund hit with maximum penalty for Russia sanctions breaches
OFAC said GVA had willfully violated US sanctions and ignored OFAC’s legal advice cautioning against sale or transfer of assets.
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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SEC approves new PCAOB Quality Control Standard QC 1000
The new standard is designed to drive registered public accounting firms to significantly improve their quality control systems.
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SEC charges auditor BF Borgers with ‘massive fraud’
BF Borgers and owner Benjamin Borgers charged by the SEC in case affecting more than 1,500 SEC filings.
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DOJ Fraud Section’s Year in Review shows continued focus on individuals, cooperation policy
Annual Report underlines change in tone from punitive enforcement to incentivizing good conduct.
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In 2023, the future of compliance and regulation was just beginning
Our US editor Julie DiMauro reflects on the events of 2023, and what they suggest 2024 might bring.
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SEC results show resolve to protect investors, hold bad actors accountable
Enforcement results for FY 2023 show SEC filed 784 enforcement actions and obtained orders for nearly $5 billion in financial remedies.