Risk & Regulatory Compliance

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Wells Fargo

Wells Fargo fined $98M for facilitating sanctions violations in Iran, Syria, Sudan


Wells Fargo will pay nearly $98 million to settle charges a subsidiary facilitated more than $532 million worth of prohibited transactions in violation of sanctions against Iran, Syria, and Sudan.

Silicon Valley Bank

Bipartisan bill would empower FDIC to pursue failed bank exec clawbacks


The Failed Bank Executives Clawback Act seeks to require the Federal Deposit Insurance Corporation to claw back five years’ worth of compensation from executives who lead failed banks.

Deutsche Bank

‘An unexpected stress test’: European banks weathering storm of U.S. failures


Except for Credit Suisse’s demise, Europe has so far largely patted itself on the back for preventing further contagion in the banking sector following the failures of Silicon Valley Bank, Silvergate Bank, and Signature Bank in the United States.

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CPE Webcast: Third-party due diligence: A practical deep dive

2023-03-30T14:00:00+01:00Provided by

A corporate code of conduct can be internally enforced, but how do you ensure third parties measure up to your values and requirements?


​SEC warns newly registered advisers of overburdening CCOs


Investment advisers newly registering with the SEC have been observed not devoting sufficient resources to their chief compliance officers, sometimes ladling additional responsibilities on the role that take away from time to focus on compliance.


William Hill fined record $23.7M for social responsibility, AML failures


The U.K. Gambling Commission announced three units of British bookmaking service William Hill Group will pay a record fine of £19.2 million (U.S. $23.7 million) for failures regarding social responsibility and anti-money laundering.

Michael Barr

‘Textbook case of mismanagement’: Regs point blame at SVB for collapse


Banking regulators defended their supervisory actions and pledged to find answers as to what went wrong when discussing the factors leading to the failures of Silicon Valley Bank and Signature Bank before the Senate Banking Committee.


NAVEX: Record whistleblower report totals suggest ‘more cautious workforce’


More whistleblowers than ever before filed reports with their employers in 2022, with more than half doing so anonymously, according to the latest hotline benchmark report from NAVEX.