Top 10 op risks 2021: regulatory risk

Big dip in fines belies lingering fears over Covid loan mis-selling and sanctions risk

When supervisors intervened in markets over the past 12 months, it was more often to protect lenders than slap firms with fines: with a couple of notable exceptions, regulatory penalties in 2020 plummeted as Covid-19 spread across the globe.

Still, regulatory risk – the fear that changes to rulesets and supervisory expectations create openings for operational mis-steps, disclosure challenges, restrictions on activity or straightforward financial penalties – is never far from thought for banks

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