Top Stories
Coronavirus safeguards mean corporate ghost towns in China
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.
SEC rips Wells Fargo’s ETF compliance efforts in $35M settlement
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.
Judge acquits Alstom exec on FCPA charges
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 settles with RSM over improper conduct
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
James Comey, Samantha Power highlight CW2020 lineup
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.
First four ‘Excellence in Compliance Awards’ finalists revealed
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.
‘Science of Workplace Investigations’ preview: Tips on getting at the truth
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
TeamMate Touchstone Audit Industry Study
Groundbreaking research into the methodology and maturity of internal audit functions around the globe. Participate today.
Upcoming event > EIC Awards
Upcoming event > TPRM Summit NY
TPRM Summit NY: Mar 31-Apr 1
Due diligence protocols and practical guidance to evaluate vendors and assess risk.
Upcoming event > Workshop
Investigations seminar: Mar 10
A one-day online seminar from CW and former Department of Justice attorney Michael Johnson.
Upcoming event > Compliance Week 2020
CW2020: May 18-20
The premier peer-to-peer event that spotlights chief compliance officers and industry leaders.
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
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More from Compliance Week
CCO Q&A: Managing compliance in the FinTech space
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 coming this spring
Check out information on upcoming events from such regulators as the SEC, FINRA, CFPB, and more.
Fictitious soccer players at center of money laundering scheme
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.
What’s next for Wells Fargo? Bank, execs still in crosshairs
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.
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 
