Former Wells Fargo Compliance Officer Wins SEC Case
A former compliance officer of Wells Fargo Advisors who faced an enforcement action by the Securities and Exchange Commission last year for allegedly altering a document before it was provided to the SEC during an investigation has won dismissal of her case. “Wells Fargo clearly had much deeper and more ...
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WebcastMay 19 | Why Employees Break Policies They Signed — And How to Fix It
In this webinar, we’ll explore why employees break policies they’ve already agreed to and what organizations can do to close the gap.