Compliance into the Weeds: Episode 157-Wells Fargo Risk Assurance Execs Under Scrutiny

Thomas Fox - Compliance Evangelist
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Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode we take a deep dive into the Office of Comptroller and Currency’s proposed Cease and Desist Order against former high-ranking Wells Fargo risk assurance executives.

Some of the highlights See more +

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode we take a deep dive into the Office of Comptroller and Currency’s proposed Cease and Desist Order against former high-ranking Wells Fargo risk assurance executives.

Some of the highlights include:

Are risk assurance executives now under more scrutiny by regulators?

Were the facts of Wells Fargo’s fraudulent accounts scandal so bad to raise a new level of liability?

Should we expect new regulatory guidance?

If the first line of defense performs it function, but the second and third do not; what are the implications?

What are the implications for the compliance discipline and CCO? See less -

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Thomas Fox - Compliance Evangelist
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