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RISK & COMPLIANCE JOURNAL

Wells Fargo Told by Senator to Fix Its Risk-Management Practices

Wells Fargo Told by Senator to Fix Its Risk-Management Practices

Richard Vanderford

The chairman of the U.S. Senate Banking Committee said Wells Fargo Chief Executive Charles Scharf needs a plan to improve the bank’s internal controls.

Law Firms Branch Out Beyond Lawyers in Bid to Beat Out Rival Advisers

Law Firms Branch Out Beyond Lawyers in Bid to Beat Out Rival Advisers

Richard Vanderford

Facing competitive pressure from consulting firms and others, old law firms try to pick up new tricks.

Glencore Said It Revamped Its Compliance Program Following Guilty Pleas

Glencore Said It Revamped Its Compliance Program Following Guilty Pleas

Mengqi Sun

The Anglo-Swiss commodities company published a 13-page investor update about its ethics and compliance program, which coincided with settlements it reached with various regulators.

The Morning Risk Report

Law firms are branching out beyond lawyers in a bid to beat out rival advisers, and the SEC confirms a probe into Elon Musk’s disclosure of Twitter stake. Also, the EY split-up plan exposes a rift among accounting firms.

Treasury to Study How Russians Could Use Hedge Funds, Private Equity to Evade Sanctions

Treasury to Study How Russians Could Use Hedge Funds, Private Equity to Evade Sanctions

Mengqi Sun

Brian Nelson, the top U.S. counterterrorism finance official, said the expanding list of sanctions against Russia highlights money-laundering risks for investment advisers.

Cryptocurrency Companies to Remain in U.S. Law Enforcement Crosshairs

Cryptocurrency Companies to Remain in U.S. Law Enforcement Crosshairs

Richard Vanderford

Officials with the U.S. Justice Department and Commodity Futures Trading Commission say they will continue to home in on crypto.

Insurance Providers Rethink Their Approach to Crypto

Insurance Providers Rethink Their Approach to Crypto

Mengqi Sun

More insurers are offering coverage to cryptocurrency companies, hoping to profit from the industry’s rapid growth.

Former BitMEX CEO Sentenced to House Arrest on Anti-Money-Laundering Charges

Former BitMEX CEO Sentenced to House Arrest on Anti-Money-Laundering Charges

Richard Vanderford

Arthur Hayes, a co-founder and former chief executive of cryptocurrency derivatives exchange BitMEX, has been sentenced to serve six months of house arrest for violating U.S. law by failing to establish a compliant anti-money-laundering program.

Wells Fargo to Pay $7 Million Over Alleged Anti-Money-Laundering Glitches

Wells Fargo to Pay $7 Million Over Alleged Anti-Money-Laundering Glitches

Richard Vanderford

A Wells Fargo unit has agreed to pay $7 million in a settlement with the SEC after alleged glitches in a new anti-money-laundering system let suspicious transactions escape initial notice.

Ex-Panama President’s Sons Sentenced to Three Years in Prison in the U.S.

Ex-Panama President’s Sons Sentenced to Three Years in Prison in the U.S.

Dylan Tokar

The sentencing of Ricardo and Luis Martinelli closes another chapter of the far-reaching corruption probe into Brazilian construction giant Odebrecht.

Financial Crimes Efforts Get Funding Boost as Part of Ukraine Aid Package

Financial Crimes Efforts Get Funding Boost as Part of Ukraine Aid Package

Dylan Tokar

A new military and economic aid package to help Ukraine repel Russia’s invasion includes additional funding for the Treasury’s Financial Crimes Enforcement Network.

Federal, New York Officials Look for Public Input on Crypto Regulation

Federal, New York Officials Look for Public Input on Crypto Regulation

Mengqi Sun

Top officials from the U.S. Treasury Department, the Commerce Department and the New York State Department of Financial Services said that when it comes to the digital assets industry, the involvement of the private sector is crucial.

Carnival’s Ethics and Compliance Chief Departs

Carnival’s Ethics and Compliance Chief Departs

David Smagalla

Carnival Corp.’s ethics and compliance chief, Peter Anderson, who was hired in the wake of legal troubles faced by one of the cruise-line operator’s subsidiaries, has resigned.

CFTC Signals Intent to Increase Enforcement of Crypto-Related Cases

CFTC Signals Intent to Increase Enforcement of Crypto-Related Cases

Mengqi Sun

The number of cases of alleged digital asset fraud and manipulation continues to accelerate, the head of the Commodity Futures Trading Commission said.

Latest News

SEC Confirms Probe Into Elon Musk’s Disclosure of Twitter Stake

The agency is asking the Tesla CEO why he didn’t make the required filing within 10 days after his Twitter stake crossed the 5% threshold.

EY Split-Up Plan Exposes Accounting-Firm Rift

Rivals of Ernst & Young say they are not going along with its idea to divide auditing and consulting businesses.

Follow @WSJRisk

Sign Up for Risk and Compliance Newsletters & Alerts

European Union Pledges to Curb Oil Purchases From Russia

Treasury Releases Pandemic Funding for Small Businesses as They Face New Risks

Baby-Formula Shipments Come With High Security to Deter Cargo Thieves

Crypto Security Debate Goes to Court

EY Considers Split of Audit, Advisory Businesses

Twitter to Pay $150 Million Privacy Fine as Elon Musk Deal Looms

Fed Official Says Digital Dollar Could Coexist With Stablecoins

SEC Proposes More Disclosure Requirements for ESG Funds

Todd Boehly’s Takeover of Chelsea Approved by U.K.

U.S. Sanctions Russian Firms Accused of Helping Iran’s Revolutionary Guard

McDonald’s Poised to Retain Both Seats in Proxy Fight With Icahn

Ukraine War Shows Need for Global Data-Privacy Agreement, EU Officials Say

FEATURED STORIES

White-Collar Workers Are Ready to Network Again. Conference Organizers Want to Help5 min read

Ransomware Attackers Begin to Eye Midmarket Acquisition Targets3 min read

Crypto Industry Can’t Hire Enough Lawyers5 min read

SANCTIONS

U.S. Warns Banks, Crypto Firms Against Potential Efforts to Evade Russian Sanctions2 min read

U.S. Banks Are Prepared for Russia Sanctions, but Concerns Grow About Potential Hacks5 min read

Russian Kleptocrats of Particular Concern to U.S. Treasury2 min read

NEW RULES

Justice Department to Step Up Focus on White-Collar Crime Victims3 min read

SEC Climate Disclosure Proposal Looms as Litigation Risk4 min read

Shareholder Voices Poised to Grow Louder With SEC’s Help5 min read

  • Transform Legal Function by Revisiting Operations Model

    Lawyers in corporate legal departments often wear many hats and can end up juggling tasks that do not require a Juris Doctor degree.

  • Manage AI Model Bias to Preserve Trust

  • 3 Ways Quantum Computing May Create Ethical Risks

CONTENT FROM OUR SPONSOR: DELOITTE

The Wall Street Journal news department was not involved in the creation of this content.

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