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US Regulators Weigh Operational Resilience Rules

by Starling Insights

Observations

Mar 19, 2024

In a recent speech, Acting US Comptroller of the Currency Michael Hsu announced that regulators are exploring new operational resilience requirements for banks, as reported by the Wall Street Journal.

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US SEC Fines 16 Firms $81mn for Messaging Violations

by Starling Insights

Observations

Feb 19, 2024

Earlier this month, the US Securities and Exchange Commission (SEC) announced $81 million in fines against 16 financial firms for the employee use of unauthorized messaging apps. The penalized firms included Northwestern Mutual Investment Services (NMIS), US Bancorp, and Huntington Investment Company.