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Culture & Conduct Supervision

Regulators are focusing on how culture & conduct risk can be operationalized and how financial institutions can audit their risk and evidence their successes.

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US SEC Passes Private Fund Reforms

by Starling Insights


Sep 25, 2023

The US Securities and Exchange Commission (SEC) has approved a reform package that will significantly affect how the $27 trillion private fund industry interacts with investors. The reforms, passed by a 3-2 vote, reflect the most substantial changes in over a decade for the lightly regulated and rapidly growing sector.

The 2023 Compendium is available now!

Now in its 6th year, Starling's Compendium features over 40 contributors from across the industry as well as detailed analysis of the latest trends in culture & conduct risk supervision.

Andrea Enria: Why Supervision is the Answer

by Starling Insights


Sep 14, 2023

ICYMI: In a speech in June, Andrea Enria, Chair of the Supervisory Board of the European Central Bank, argued that this year's bank failures have made clear that supervisors must increase their efforts to ensure that banks have sound internal governance and risk management, as “well-run banks don’t fail.”