Corruption, Crime and Compliance - Deep Dive Into Wells Fargo’s $30 Million OFAC Settlement
Episode 269 -- A Deep Dive into Wells Fargo's OFAC Settlement for $30 Million
Daily Compliance News: October 16, 2020-the Wells Fargo Corruption Continues edition
Daily Compliance News: September 24, 2020-the Wells Fargo CEO steps in it edition
Compliance into the Weeds: Wells WAC-O Spending
Episode 127 -- Deep Dive into the OCC Enforcement Action Against Wells Fargo CEO and Senior Executives
Daily Compliance News: August 5, 2019, the Wells Fargo sick of being taken advantage of edition
Compliance into the Weeds: Episode 117-Wells Fargo Update
Day 1 of One Month to Better Investigations and Reporting-Introduction to Investigations and Internal Reporting
Unfair and Unbalanced-Episode 18
Day 10 Of One Month to Better Compliance through HR-Sales Incentives and Compliance
FCPA Compliance Report-Episode 284, Mike Scher
This Week in FCPA-Epiode 23, the Wells Fargo edition
Bill on Bankruptcy: Sigmund Freud, Marx Brothers, Bernie Madoff
The years since the 2007–2008 financial crisis have been marked with milestone settlements of claims against the major mortgage “aggregators” (sometimes also known as “investors” in the mortgage purchasing context), who then...more
On June 3, the Federal Housing Finance Agency (FHFA), as conservator for the Federal Home Loan Mortgage Corporation (Freddie Mac), filed a lawsuit in the United States District Court for the Southern District of New York...more
The SEC will vote today on what it’s calling Regulation Best Interest, “which says brokers can’t put their own paychecks ahead of a customer’s needs”—the more-industry-acceptable revision of an Obama-era fiduciary duty rule...more
On November 6, Wells Fargo & Co. disclosed in a regulatory filing with the Securities and Exchange Commission that it settled claims by the Federal Housing Finance Agency (acting as conservator to Fannie Mae and Freddie Mac)...more
CFTC Proposed Rule on Commodity Pools - On November 5, the CFTC issued a proposed rule that would require that all registered introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors...more
Add another mega-settlement to the rapidly growing list of huge payouts by the nation’s largest banks to federal agencies. Wells Fargo reportedly has now agreed to pay the Federal Housing Finance Agency (FHFA), which oversees...more