FINRA Fines Credit Suisse $345K For Worker Oversight Lapse. Credit Suisse Securities failed to monitor thousands of its employees' outside brokerage accounts for "potentially deceptive" trading practices, according to a Financial Industry Regulatory Authority settlement.

FINRA - Financial Industry Regulatory Authority

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Published on Apr. 7th, 2021 Published on Apr. 7th, 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.