FINRA fines $1.250.000 Goldman Sachs over employee fingerprinting. FINRA said Goldman failed to maintain a reasonable system to identify and properly screen individuals who became associated with the firm in a non-registered capacity.

FINRA - Financial Industry Regulatory Authority

Source

Published on Jan. 22th, 2021 Published on Jan. 22th, 2021

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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.