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Outcomes-Based Regulation

Post-financial crisis macroprudential policy remedies appear largely successful in mitigating financial risks that threaten firms and the financial system. We have yet to agree upon the right approach to mitigating non-financial risk issues. Regulators are thus affording firms the flexibility to achieve desired results however they see fit — and holding them accountable when they fail.

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Do Principles Ever Die?

by Starling Insights


Sep 11, 2023

In a recent blog post, Mark Jephson, a Partner at Mosaic, discusses the consequences of a potential repeal of New Zealand's Conduct of Financial Institutions (CoFI) bill pending the results of a general election this fall. "[T]his begs the question, do principles ever really die even after repealing principle-based regulatory constructs such as CoFI?" he asks.

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.

Investors Press PCAOB to Develop Audit Quality Indicators

by Starling Insights


Mar 29, 2023

The US Public Company Accounting Oversight Board's (PCAOB) Investor Advisory Group (IAG) has urged the Board to wrap up a long overdue Audit Quality Indicators (AQIs) project.