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Governance, Audit & Regulatory Failures

Governance failures at firms are matched by those at the audit firms and regulators tasked with assuring market integrity.

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Deutsche Bank Ordered to Fix Controls

by Starling Insights

Observations

Nov 16, 2022

In a recent statement, German financial watchdog BaFin announced that it had ordered Deutsche Bank to take specific measures to prevent money laundering and terrorism financing or risk facing fines.

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Citigroup in Constant Dialogue with Regulators

by Starling Insights

Observations

Oct 27, 2022

According to sources familiar with the matter, Citigroup recently submitted a comprehensive multi-year plan to the Federal Reserve and the Office of the Comptroller of the Currency (OCC) outlining steps it will take to strengthen its risk management and internal controls.