Wells Fargo Risk Assurance Execs Under Scrutiny
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? Learn more about your ad choices. Visit megaphone.fm/adchoices