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Banking Sector Financial Services Industry Corporate Culture

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending June 7, 2025

Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more

Bodman

Unions Are Seeking to Organize in Non-Traditional Industries, Including Financial Services

Bodman on

Union organizing efforts are not limited to historical union strongholds such as manufacturing, construction, and the public sector. Even though unions currently represent only about 1.3% of the financial services industry,...more

A&O Shearman

D&I in FS: how to get a head-start on the FCA and PRA proposals

A&O Shearman on

This is the last post in our series on the UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) proposals to introduce a new regulatory framework on diversity and inclusion (D&I) in the financial...more

A&O Shearman

Setting D&I targets: what the UK regulators expect from financial services firms

A&O Shearman on

The UK financial services’ regulators have introduced new proposals on setting diversity and inclusion (D&I) targets by firms. These proposals aim to address underrepresentation of particular demographics within firms and the...more

The Volkov Law Group

Wells Fargo’s Woes Continue — A Rotten Culture that Continues to Stink

The Volkov Law Group on

It is hard to write yet another posting about Wells Fargo’s misconduct.  Wells Fargo’s troubles continue unabated.  I am not exaggerating — I promise.  Every few months, we hear about another problem, another enforcement...more

King & Spalding

Financial Services Summit

King & Spalding on

The panels were moderated by partners Sally Yates from the firm’s Atlanta office and Michael Urschel from the firm’s New York office. Following the panels, the firm hosted a networking reception. ...more

A&O Shearman

Financial Conduct Authority Publishes Progress Report on Conduct Questions for Wholesale Banks

A&O Shearman on

The Financial Conduct Authority has published its latest report on industry progress made against the "Five Conduct Questions" it poses to wholesale banks in a bid to improve their conduct and culture. The FCA will use its...more

Mitratech Holdings, Inc

Cyberattacks, Fraud and Getting to the Root of it All

Just how many counts of fraud attacks occurred in the first quarter of 2018? These results from ThreatMetrix uncovered some alarmingly high numbers, including...more

A&O Shearman

Financial Regulatory Developments Focus - July 2018 #4

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - April 2018 #4

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Thomas Fox - Compliance Evangelist

Wells Fargo Week, Part III-the Bank Knew All Along

You know it is going to be a very bad day when, as a company’s Chief Executive Officer (CEO), you receive a letter asking the following, “Specifically, the committee should thoroughly examine this issue, including: How it is...more

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