News and commentary about white-collar crime, enforcement, and compliance
Harry Cassin
Publisher and Editor
Andy Spalding
Senior Editor
Jessica Tillipman
Senior Editor
Bill Steinman
Senior Editor
Richard L. Cassin
Editor at Large
Elizabeth K. Spahn
Editor Emeritus
Cody Worthington
Contributing Editor
Julie DiMauro
Contributing Editor
Thomas Fox
Contributing Editor
Marc Alain Bohn
Contributing Editor
Bill Waite
Contributing Editor
Russell A. Stamets
Contributing Editor
Richard Bistrong
Contributing Editor
Eric Carlson
Contributing Editor
It’s time for the compliance community to be hopeful. In the same month, the DOJ announced it was hiring a compliance expert to help make charging decisions, and an administrative law judge refused to allow the SEC to sanction a former Wells Fargo Advisors compliance officer because doing so would make her a scapegoat.… Continue Reading
A former Wells Fargo compliance officer who allegedly altered a document before giving it to the SEC during an investigation won dismissal of her case Wednesday after an administrative law judge refused to sanction her.… Continue Reading
The U.S. Securities and Exchange Commission said it is trying to reach a settlement with the Chinese units of the Big Four accounting firms of a long-running dispute over regulators’ access to audit documents.… Continue Reading