FINRA Fines Goldman Sachs Subsidiary $1.3 Million for Order Failures The Financial Industry Regulatory Authority (FINRA) fined Goldman Sachs subsidiary Folio Investments Inc. $1.3 million for allegedly failing to adequately review order execution quality after altering the market center routing for a significant portion of its customer orders.

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Published on Mar. 2th, 2026 Published on Mar. 2th, 2026

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Apr. 1st, 2026

Take a look at this recent Q&A on Risk.net featuring Nedim Baruh and Patrick Naim: "Industrialising the challenge process: AI in operational risk scenario analysis"

Structured scenarios have significantly enhanced the way scenario analysis is carried out, especially when it comes to challenging assumptions. Exchanges with validation teams are far more robust compared to earlier, less structured methods. Many thanks to Nedim Baruh and Zoi Fletcher for this insightful discussion, and to Risk.net for sharing it.