Trump's first 100 days
Ten key points from Trump's first 100 days.
Change remains a constant in financial services regulation. Read "our take" on the latest developments and what they mean.
Ten key points from Trump's first 100 days.
Why institutions should prioritize risk and finance alignment.
Five key points from Governor Tarullo’s farewell speech.
Managing HMDA compliance risk ahead of CFPB examinations.
On March 24th, the Federal Reserve and Federal Deposit Insurance Corporation released long-awaited feedback on the 2015 resolution plans for 16 US regional banks.
Many financial institutions have adopted a front office central supervision team within the first Line of Defense to assist supervisors with monitoring non-financial risks.
We expect the CFPB to increase scrutiny over the use of consumer reporting agencies to screen potential deposit account customers.
On February 3rd, the Trump administration issued a Presidential Memorandum instructing the DOL to re-examine its fiduciary rule, but did not specifically recommend a delay as many expected.
On February 3rd, the Federal Reserve (Fed) issued its Comprehensive Capital Analysis and Review (CCAR) instructions and three accompanying supervisory scenarios to be used for the CCAR and Dodd-Frank Act stress test exercises.
Ten key points from Basel’s FAQs on the Fundamental Review of the Trading Book.
What to expect in the 2017 sanctions landscape.
DFS's revised proposal takes a more risk-based and less prescriptive approach than its earlier version.
The new US policy toward Myanmar creates business opportunities for financial institutions.
Top performing regional banks have demonstrated similar capital allocation strategies.
On December 16 the Federal Reserve (Fed) released its long-discussed Total Loss-Absorbing Capacity (TLAC) requirements.
FINRA's proposal continues regulators' focus on protecting elderly customers.
Ten key points from SEC's final Consolidated Audit Trail plan.
In an environment marked by skyrocketing costs of compliance and increasingly complex forms of criminal behavior, financial institutions are turning to automation to enhance controls and improve the efficiency of their investigations processes.
Five key points from the FDIC’s final deposit recordkeeping rule for large banks.
Ten key points from Donald Trump's victory.
Banking regulators’ joint ANPR continues the trend of heightened cybersecurity expectations for large institutions.
Financial institutions should be on the lookout for eight sanctions circumvention typologies.
Key points from the election and FAQs.
Five key points from the Treasury's final rule on QFC recordkeeping.
Regulatory scrutiny will be wide-ranging and will hold Boards accountable.
Five key points from the SEC's final rule on fund reporting.
Ten Key Points from the SEC’s liquidity risk management rule and swing pricing amendment.
The Fed is likely to finalize its single counterparty credit limits (SCCL) rule this year.
Ten key points from the US G-SIBs’ resolution plan progress reports.
Ten key points from Governor Tarullo’s speech on stress testing and the Fed’s NPR.
The benefits of efficient intraday liquidity management are growing.
DFS’s cyber proposal could hold directors and officers personally liable for noncompliance.
The CFTC’s final rule relaxes earlier proposed testing requirements, but challenges remain
Regulators have intensified their scrutiny of the securities industry and are levying heavy penalties for noncompliance with AML regulations. Data analytics and customized transaction monitoring are helping firms mitigate money-laundering risks.
Mandatory margin on TBA transactions for broker dealers.
Three lessons from FINRA’s largest ever AML enforcement action.
The CFTC raises expectations for CCP recovery and resolution.
Five key points from the SEC’s reporting and public dissemination rule.
FinCEN’s proposed rule forces banks to choose between doing business with the US or doing business with North Korea.
SEC announces sweep of broker-dealer Customer Protection Rule compliance.
Five key points from the CFTC's amendment to swap data reporting
Five key points from the SEC's business continuity plan proposed rule for investment advisers.
DFS issues the first formal regulation on transaction monitoring and filtering programs.
Five key points from the 2016 Comprehensive Capital Analysis and Review (CCAR).
The Consolidated Audit Trail database will track all equities and options traded in the US.
Five key points from the Fed's 2016 DFAST.
Five key points from the UK voters' decision to exit the EU.
Banks must integrate their cybersecurity, fraud, and insider threat programs to protect themselves.
Five key points from the Agencies’ FBO resolution plan announcements.
Ten key points from the Fed’s proposed insurance regulations.
Tarullo's speech on insurance capital standards
CFTC’s Regulation Automated Trading enhances oversight of algorithmic trading practices.
Last week’s final rule establishes the first prescriptive obligation to know the beneficial owners of your customers.
How to protect elderly customers from financial exploitation.
Ten key points from the SEC’s business conduct standards for swap entities.
Five key points from the US Net Stable Funding Ratio.
Five key points from US regulators’ bonus compensation proposal.
Ten key points from Agencies’ resolution plan feedback.
Ten key steps for preventing fraud attacks.
Regulatory scrutiny and fines are pressuring financial institutions to rethink their sanctions compliance programs. Advanced data analytics and technology can improve filtering process effectiveness, increasing compliance while controlling costs.
Ten key points from the DOL’s fiduciary duty rule.
Five key points from the OCC’s financial innovation paper.
Knowing the ultimate beneficial owners of your clients has never been more necessary.
MiFID II's compliance extension delays the inevitable for US and global firms.
OFAC’s new rules create new business opportunities for financial institutions.
Five key points from Basel Committee’s proposed restrictions on internal models for credit risk.
Five key points from Basel’s enhanced disclosure proposal.
The sanctions landscape is continually evolving, challenging, and complex.
Ten key points from Basel's Standardized Measurement Approach for operational risk.
Ten key points from the Fed's single-counterparty credit limits proposal.
Five key points from the interagency funds transfer pricing guidance.
The FDIC proposes shifting deposit insurance calculation to banks.
How to prevent account takeover attacks.
A busy year ahead for swap dealers.
The new “Privacy Shield” data transfer agreement presents three key challenges for financial institutions.