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Culture & Misconduct

Cultural Drivers of Misconduct

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US SEC Fines 12 Firms Over Employee Messaging

by Starling Insights

Observations

Jan 22, 2025

Last week, the US Securities and Exchange Commission (SEC) announced civil penalties of $63 Million against 12 firms, including investment advisers and broker-dealers, for employee use of unauthorized messaging apps.

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The 2024 Compendium is available June 11th!

Now in its 7th 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.

Rio Tinto Progress Report Shows Continued Culture Struggles

by Starling Insights

Observations

Dec 05, 2024

Australian mining company Rio Tinto's latest progress report, written by former Australian Sex Discrimination Commissioner Elizabeth Broderick, has revealed a rise in complaints of sexual assault and bullying, as reported by the Financial Times. This is despite the company's efforts to improve workplace culture.