Compliance into the Weeds

Wells Fargo Risk Assurance Execs Under Scrutiny

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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 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 now; what are the implications?
  • What are the implications for the compliance discipline and CCO?

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    Compliance into the WeedsBy Tom Fox
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