6th Mar, 2021
Image credit The Monetary Authority of Singapore (MAS) and the Association of Banks in Singapore (ABS) have jointly published a paper on managing new risks…
4th Mar, 2021
The Australian Securities and Investments Commission (ASIC) recently released an immunity policy for serious offenses, including market manipulation. Under ASIC’s new immunity policy individuals who…
1st Mar, 2021
Image credit Many staff at financial companies have been working from home in an effort to fight the COVID-19 pandemic. Now, the staff at financial…
25th Feb, 2021
The 2021 Starling Compendium is coming soon! Our annual summary of regulatory activities and priorities regarding Culture and Conduct Supervision in the Banking Sector has…
23rd Feb, 2021
Banks and financial institutions across the world have been facing persistent reputational difficulties, triggered by a series of misconduct events. A firm's culture is now…
16th Feb, 2021
The U.S. Securities and Exchange Commission (SEC) will give enforcement staff greater powers to launch investigations at firms, in a sign that the agency plans…
16th Feb, 2021
In a recent report, the Australian Securities & Investments Commission (ASIC) explores how the RegTech market is developing in terms of speed, size, and capability…
16th Feb, 2021
Bank regulators show little patience with willful blindness to misconduct. In a recent example, Swiss regulators have sanctioned Credit Suisse, where executives appear to have…
15th Feb, 2021
As part of a wide-ranging reform triggered by the Wirecard scandal, Germany will create a special financial task force responsible for forensic audits of companies…
12th Feb, 2021
Directors will be held personally responsible for the accuracy of their company’s financial statements — and may face punitive fines and industry bans in the…
9th Feb, 2021
Starling Advisor's James Freis was pleased to join Wirecard, where he hoped to help lead the company in promising new directions. Due to join the…
8th Feb, 2021
Our advisor, Harvard’s Amy Edmondson, recently contributed to an article on MIT Sloan, in which she highlights issues around leadership and public trust. Given the…
27th Jan, 2021
The Hong Kong Monetary Authority (HKMA) recently published a new report highlighting the opportunities that RegTech offers to transform the effectiveness and efficiency of AML/CFT…
22nd Jan, 2021
Image credit Companies are bracing for more robust regulation under the incoming Biden administration, and most can expect new requirements in financial disclosures, specifically relating…
18th Jan, 2021
The right goal for a regulator is to shape a marketplace where the regulator’s presence is hardly felt or necessary and — for this &mdash…
18th Dec, 2020
As Covid-19 continues to transform business and operating models, the application of regulatory technology – or ‘Regtech’ – will present significant growth opportunities for banks…
11th Dec, 2020
Singapore needs to raise its auditing and accounting standards to boost the nation’s environmental, social and governance (ESG) credibility following a series of corporate scandals…
9th Dec, 2020
In an excoriating nine-page Enforceable Undertaking (EU), signed by Westpac chairman John McFarlane and chief executive Peter King, the Australian Prudential Regulation Authority (APRA) said…
8th Dec, 2020
In a recent interview, the renowned organizational psychologists Ed and Peter Schein discussed their thoughts on leadership and corporate culture. Ed made the point that…
30th Nov, 2020
JPMorgan Chase & Co has agreed to pay $250 million for risk management and other control failings, in the second penalty for the bank in…