Corporate compliance officers haven’t been having the easiest time at the U.S. Securities and Exchange Commission. The commission lately has made a habit of charging corporate “gatekeepers,” such as auditors and compliance officers, who allegedly fail to identify and call out wrongdoing at their companies.
One recent instance was that of Judy Wolf, a compliance consultant who worked for Wells Fargo & Co. However, instead of sanctioning Wolf for her actions, an SEC administrative law judge dismissed her case, letting her off the hook entirely.
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