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The Costs of Misconduct

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Goldman Fires Employees for Communications Violations

by Starling Insights

Observations

Sep 26, 2023

Early this month, Goldman Sachs fired several employees in its transaction banking business due to "serious violations" of communication policies. Hari Moorthy, Goldman's Global Head of Transaction Banking, was reportedly among those dismissed.

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.

JPMorgan Fined $4mn for Deleting Messages

by Starling Insights

Observations

Jun 28, 2023

JPMorgan Chase's brokerage arm will pay $4 million to settle with the U.S. Securities and Exchange Commission (SEC) over the accidental deletion of 47 million electronic messages it was required to retain.