Top Stories

Shanghai

Coronavirus safeguards mean corporate ghost towns in China

2020-02-27T17:11:00+00:00By

China’s economy may be stuck in neutral for months by mandated quarantines and business shutdowns as well as resistance from local authorities to issue work resumption permits.

Wells Fargo

SEC rips Wells Fargo’s ETF compliance efforts in $35M settlement

2020-02-27T22:34:00+00:00By

Already reeling from last week’s $3 billion penalty related to its fake accounts scandal, Wells Fargo took another hit Thursday in the form of a $35 million SEC settlement related to poor supervision of investment recommendation practices.

Alstom

Judge acquits Alstom exec on FCPA charges

2020-02-27T18:42:00+00:00By

In a setback for the DOJ, a federal judge has acquitted, in part, a former executive of French power and transportation company Alstom for his role in a foreign bribery scheme in Indonesia.

SEC

SEC settles with RSM over improper conduct

2020-02-27T19:39:00+00:00By

The Securities and Exchange Commission has settled charges with RSM for “improper professional conduct” after the firm assigned unqualified staff to audit a series of private investment funds.

Event spotlight

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James Comey, Samantha Power highlight CW2020 lineup

By Compliance Week

Register today and join more than 600 industry executives to network and share best practices and to meet and learn from world-class speakers like James Comey, Samantha Power, and more. May 18-20 in Washington D.C.  For more information, reach out to Donna O’Neill at donna.oneill@complianceweek.com.

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First four ‘Excellence in Compliance Awards’ finalists revealed

By

Compliance Week is proud to announce its first four finalists for the “Excellence in Compliance Awards,” a newly formed program that recognizes individual achievement in one of 13 categories relating to risk and compliance.

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‘Science of Workplace Investigations’ preview: Tips on getting at the truth

By Compliance Week

Compliance Week sat down with Clear Law Institute CEO Michael Johnson to discuss what attendees of his “Science of Workplace Investigations” online workshop can expect to learn, including how to best spot a lie.

Partner Content

WK Partner Content-v2

TeamMate Touchstone Audit Industry Study

2020-02-04T18:45:00+00:00Provided by

Groundbreaking research into the methodology and maturity of internal audit functions around the globe. Participate today.

Upcoming event > EIC Awards

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Excellence in Compliance Awards

Finalists for awards will be announced in March.

More Info

Upcoming event > TPRM Summit NY

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TPRM Summit NY: Mar 31-Apr 1

Due diligence protocols and practical guidance to evaluate vendors and assess risk.

Register Now

Upcoming event > Workshop

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Investigations seminar: Mar 10

A one-day online seminar from CW and former Department of Justice attorney Michael Johnson.

Register Now

Upcoming event > Compliance Week 2020

CW2020

CW2020: May 18-20

The premier peer-to-peer event that spotlights chief compliance officers and industry leaders.

Register Now

Data and Research

  • Special report: Inside the Mind of the CCO

  • Special report: Maturing in your technology journey

  • What we can learn from the biggest GDPR fines so far

  • CCO salary benchmark reports

  • Special report: Building a better audit

More from Compliance Week

FinTech

CCO Q&A: Managing compliance in the FinTech space

2020-02-26T15:35:00+00:00By

Compliance Week discusses with Shannon Duncan, CCO and director of operations at registered investment adviser Blooom, the many unique challenges of doing compliance in the complex, ever-evolving FinTech space.

regulatory events 2019

Regulatory events coming this spring

2020-02-25T20:31:00+00:00By DeAnn Orie

Check out information on upcoming events from such regulators as the SEC, FINRA, CFPB, and more.

SoccerWhistleEuro

Fictitious soccer players at center of money laundering scheme

2020-02-25T17:31:00+00:00By

Europol, the European Union’s law enforcement agency, announced it has uncovered more than €10 million (U.S. $11 million) from fictitious soccer player transfers in a money laundering and tax evasion scheme.

WellsFargoCrosshairs

​What’s next for Wells Fargo? Bank, execs still in crosshairs

2020-02-24T20:16:00+00:00By

Wells Fargo will pay $3 billion to resolve civil and criminal penalties with the DOJ and SEC related to its long-running fake accounts scandal, but the embattled bank—and its former executives—are far from out of the woods.

LinkedIn Group

    Looking for a forum to interact with corporate compliance officers, internal auditors, risk officers, financial reporting executives, and other corporate governance enthusiasts? Join the Compliance Week LinkedIn group, where members network and discuss GRC news and issues. Open to compliance practitioners.