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