FINRA announced that it has ordered Santander Investment Securities to pay a fine of $150,000 due to the firm's failure to capture around 6 million emails from 109 employee email accounts for supervisory review.

FINRA - Financial Industry Regulatory Authority

Source

Published on Nov. 24th, 2020 Published on Nov. 24th, 2020

To read more operational risk news, register for free on MSTAR Platform.

MSTAR News

Sept. 20th, 2021

ORX Forum

ELSEWARE/MSTAR will be speaking on climate stress on operational risk at the ORX forum on September 23. In particular, we will be presenting the work we have done on this topic with the American Bankers Association and a group of banks.