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 ...
Related articles
-
Article
The many compliance lessons of Wells Fargo
What should compliance officers take away from Wells Fargo employees secretly opening unauthorized deposit and credit card accounts for their customers? Joe Mont looks at the important lessons.
-
Blog
Wells Fargo to Pay $1.2 Billion for ‘Reckless’ Lending Practices
Wells Fargo & Company said this week in a securities filing that it would pay $1.2 billion to resolve certain civil claims relating to the company’s Federal Housing Administration lending activities. In a Form 8-K filing, Wells Fargo said it had reached an agreement in principle with the Justice Department, ...
-
News BriefCommunication and relationships is increasingly critical for compliance teams
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.