Industry analysis, product news, and thought leadership from Loffa Interactive Group's team of settlement technology and compliance experts.
In the ever-evolving world of financial regulation, staying ahead of compliance issues is a critical challenge for any organization. Recent disciplinary actions by the Financial Industry Regulatory Authority (FINRA) highlight common pitfalls and provide valuable insights for firms looking to avoid similar sanctions. At Loffa Interactive Group, we have meticulously evaluated these FINRA fines and […]
The SAP SE FCPA Settlement: A Wake-Up Call for Robust Compliance and Internal Controls As per the SEC press release regarding SAP SE’s settlement for violations of the Foreign Corrupt Practices Act (FCPA). The recent Securities and Exchange Commission (SEC) announcement of SAP SE’s agreement to nearly $100 million in monetary sanctions for FCPA violations […]
In light of the recent SEC announcement of its enforcement results for Fiscal Year 2023, the financial industry faces an undeniable truth: the need for stringent compliance and proactive risk management has never been more critical. With the SEC filing a record number of enforcement actions and obtaining significant financial remedies, the message is clear: […]
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