The Financial Industry Regulatory Authority has censured Santander Investment Securities Inc. and ordered the company to pay a $175,000 fine for omitting required disclosures and reporting inaccurate disclosures in its equity and debt research reports from 2016 to 2019.

FINRA - Financial Industry Regulatory Authority

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Published on Aug. 25th, 2021 Published on Aug. 25th, 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.