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Insight
Quick hitting summaries of specific regulatory developments and their impact on financial services firms.
2023
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SEC Examinations Risk Alert: Regulation Best Interest
February 02, 2023
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ESG Risk Practices
January 24, 2023
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DOJ Revises Criminal Division Corporate Enforcement Policy
January 20, 2023
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Climate Risk: FRB’s Pilot Scenario Analysis and Risk Management Practices
January 18, 2023
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Examination and Risk Monitoring: FINRA 2023 Report
January 13, 2023
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CFPB Regulatory Agenda
January 10, 2023
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SEC Regulatory Agenda
January 05, 2023
2022
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FinCEN proposal on beneficial ownership information access
December 19, 2022
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SEC Rule 10b5-1: Final amendments to insider trading arrangements, related disclosures
December 15, 2022
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Market structure: SEC proposals addressing transparency, competition, and investor protections
December 15, 2022
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Focus on Non-Bank Financial Firms, P2P Platforms, and Crypto Exchanges
December 13, 2022
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Crypto Assets: SEC issues crypto exposure sample letter
December 09, 2022
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Climate Risk: FRB principles for climate-related financial risk management
December 05, 2022
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Competition: FTC Policy Statement on Unfair Competition
November 16, 2022
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FRB Reports: Financial stability risks; Supervision and regulatory priorities
November 14, 2022
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Bank Lending: FRB Survey Indicates Industry Expects Mild Recession, Tightening Standards
November 11, 2022
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Third party risk management: SEC Investment Adviser Proposal
November 03, 2022
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Consumer and Investor Fees: SEC, CFPB, and FTC Focus
October 28, 2022
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CFPB Proposals for Section 1033, Personal Financial Data Rights
October 27, 2022
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Credit and Appraisals: FHFA Changes
October 27, 2022
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Data Retention and Deletion: Increasing Regulatory Expectations
October 24, 2022
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Climate Risk: Insurance data collection; FSB progress reports
October 20, 2022
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Large Bank Resolution: FRB, FDIC Joint ANPR
October 18, 2022
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SEC Reopens Comment Periods for Key Proposals
October 12, 2022
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Crypto and Digital Assets: FSOC, NY Fed Reports on Financial Stability Implications
October 11, 2022
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Climate Risk: FRB pilot scenario analysis
October 03, 2022
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Financial Crime: FinCEN final rule on beneficial ownership
September 29, 2022
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Crypto & Digital Assets: Treasury & DOJ Report Recommendations
September 22, 2022
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DOJ shifts policies, encouraging compliance "incentives and deterrence"
September 20, 2022
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U.S Actions to Russia-Ukraine War: OFAC Guidance on Russian Oil Price Cap
September 16, 2022
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Regulation and supervision: Agencies preview forthcoming priorities
September 14, 2022
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Real-Time Payments: FedNow Service to launch mid-2023
September 01, 2022
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Access to Reserve Bank accounts and payment services: FRB guidelines
August 22, 2022
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Private Funds: SEC, CFTC Joint Proposal to Amend Form PF
August 19, 2022
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Focus on small business is getting “big”
August 09, 2022
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Update: Inflation Reduction Act
August 08, 2022
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Insurance Risks: Compliance with NY DFS climate guidance
August 05, 2022
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Inflation Reduction Act
August 03, 2022
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New Executive Actions on Climate
July 22, 2022
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SEC Changes to Proxy Rules
July 14, 2022
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CFPB Focus on Credit Card Penalty Fees
June 28, 2022
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SEC near-term 2022 regulatory agenda
June 23, 2022
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Supervisory focus on overdraft practices
June 22, 2022
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BCBS publication: Principles for managing and supervising climate-related financial risks
June 16, 2022
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Market structure: SEC remarks on potential updates
June 09, 2022
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Climate-Related Risk: CFTC Request for Information
June 08, 2022
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Investor Protections: SEC proposed Names Rule and ESG Investment Practices Disclosure
May 26, 2022
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Diversity, Equity, and Inclusion: SEC’s Diversity Assessment Report
May 23, 2022
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2022 National Strategy for Combating Terrorist and Other Illicit Financing
May 20, 2022
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Inclusion: Community Reinvestment Act Proposal
May 13, 2022
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Environmental Justice: New DOJ Strategy
May 11, 2022
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SEC Examinations Risk Alert: Investment Adviser MNPI and Code of Ethics Compliance
May 06, 2022
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Supervisory and Regulatory Approaches to Climate-related Risks: FSB, OCC and FDIC
May 03, 2022
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U.S. actions to Russia-Ukraine war: First virtual currency mining sanctions
April 21, 2022
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Crypto and Digital Assets: Increasing regulatory momentum
April 11, 2022
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U.S. actions to Russia-Ukraine war: Sanctions, prohibitions, virtual currency exchanges
April 07, 2022
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Examinations: SEC 2022 Priorities
April 06, 2022
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U.S. actions to Russia-Ukraine war: New Sanctions, Evasion Coordination & Cyber Risks
March 28, 2022
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Climate Risk: SEC’s Mandatory Climate Disclosures Proposal
March 21, 2022
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CFPB expands anti-discrimination focus
March 21, 2022
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Cybersecurity: SEC Proposals for Public Company Reporting, Disclosures
March 10, 2022
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U.S. actions to Russia-Ukraine war: FinCEN Alert
March 08, 2022
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Short Sales: SEC proposed disclosures
March 08, 2022
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U.S. actions to Russia-Ukraine war: Expanded regulatory attentions
February 28, 2022
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U.S. Actions to Russia-Ukraine conflict
February 28, 2022
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Examination and Risk Monitoring: FINRA 2022 Report
February 18, 2022
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Private Funds: Proposals to enhance investor protections
February 14, 2022
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Cybersecurity: SEC Proposal for Adviser/Fund Risk Management
February 11, 2022
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Private Funds: SEC proposed amendments to Form PF
February 01, 2022
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Fairness and Competition: Information requests on merger guidelines
January 25, 2022
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Cybersecurity: SEC Reg SCI Proposal, Future Considerations
January 25, 2022
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Complaints management & FCRA compliance: CFPB report & bulletin
January 20, 2022
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Climate scenario analysis
January 14, 2022
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Form CRS disclosures: SEC staff statement
January 12, 2022
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OCC principles for large bank climate risk management
January 03, 2022
2021
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Money market fund reforms
December 21, 2021
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Insider Trading and Share Repurchases
December 21, 2021
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Countering corruption: Beneficial ownership, Real-estate transactions
December 20, 2021
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Regulatory focus on overdraft fees
December 09, 2021
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Cryptocurrency activities
November 25, 2021
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BCBS consultation: Principles to manage climate-related financial risks
November 23, 2021
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Cyber incident notifications
November 22, 2021
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DOJ shifts policies, encourages companies to focus on compliance investment
November 17, 2021
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Virtual assets and related providers | Updated FATF guidance
November 17, 2021
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Infrastructure law adds new funding avenues
November 09, 2021
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Board action: Climate risk questions for management
November 09, 2021
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Take-aways from COP26 Finance Day
November 05, 2021
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Interagency Report on Regulation of Stablecoins
November 03, 2021
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CFPB issues consumer protection orders to Big Tech
October 27, 2021
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FSOC issues climate risk recommendations
October 26, 2021
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Transition away from LIBOR
October 22, 2021
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Climate Reporting: Recent updates impacting financial services
October 20, 2021
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Climate Risk Modeling: Scenario analysis
October 14, 2021
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FTC approves resolutions to expedite conduct investigations
September 17, 2021
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Key themes and expected actions from the SEC’s unified agenda
September 16, 2021
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Climate-related financial risk in the insurance industry
September 10, 2021
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CFPB small business data collection under ECOA (1071)
September 03, 2021
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Regulatory focus on cloud computing
September 01, 2021
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CFPB supervisory and enforcement focus
August 31, 2021
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FFIEC guidance on systems authentication and access
August 18, 2021
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Special Alert | Senate Passed Infrastructure Bill
August 12, 2021
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Special Alert | Board Diversity
August 11, 2021
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Special Alert | Mortgage requirements and the Juneteenth holiday
August 09, 2021
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Special Alert | Community Reinvestment Act
July 23, 2021
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Special Alert | Actions to promote competition and protect consumers
July 15, 2021
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Special Alert | Third-party risk management
July 15, 2021
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Special Alert | AML/CFT priorities
July 02, 2021
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Special Alert | Promoting financial equity
July 02, 2021
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Special Alert | Ambitious SEC near-term regulatory agenda
June 28, 2021
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Climate-related metrics, targets, and transition plans
June 21, 2021
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Chief Compliance Officer liability framework: Proposal for financial services
June 11, 2021
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Supervision of climate-related risk in the insurance sector
June 07, 2021
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Special Alert | Immediate climate risk action
May 25, 2021
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Special Alert | SEC Investment Adviser Marketing Rule
May 07, 2021
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SEC Examinations Risk Alert: Compliance issues in ESG investing
April 14, 2021
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NAIC Model Law: Insurance Annuity Suitability
April 01, 2021
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Climate Equity – Assessing impacts in responsible and sustainable finance
March 26, 2021
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Special Alert | Regulatory attention on climate risk continues to grow
March 24, 2021
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Special Alert | LIBOR Transition: Anticipate supervisory findings and actions
March 12, 2021
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American rescue plan: Key financial services implications
March 10, 2021
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Guidance for boards
March 03, 2021
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Special Alert | Climate Change and ESG
March 02, 2021
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Special Alert | Climate change and ESG
February 24, 2021
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ESG: An immediate priority of the new administration
February 04, 2021
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Beyond day one: New administration impacts on financial services
January 20, 2021
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Special Alert | Convertible virtual currency and digital assets
January 11, 2021
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Special Alert | Reactivation of SBA PPP
January 08, 2021
2020
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Bank Secrecy Act and Anti-Money Laundering Reform
January 04, 2021
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COVID-19 relief and response
December 22, 2020
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Special Alert | LIBOR Transition
December 03, 2020
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Election results and regulatory challenges
November 05, 2020
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Special Alert | Paycheck Protection Program
October 12, 2020
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Special Alert | Main Street Lending Program
September 22, 2020
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Managing climate risk in the financial system – CFTC subcommittee report
September 17, 2020
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Proposed principles of operational resilience and operational risk
August 17, 2020
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Addressing inequity
August 07, 2020
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Evolving focus on ESG post-COVID-19
July 23, 2020
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Special Alert | PPP and MSLP
July 07, 2020
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Special Alert | Paycheck Protection Program
June 24, 2020
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Special Alert | Paycheck Protection Program
June 15, 2020
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Special Alert | Paycheck Protection Program
June 10, 2020
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Special Alert | Main Street Lending Program
June 10, 2020
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Effective compliance programs – Updated DOJ guidance
June 05, 2020
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Special Alert | Paycheck Protection Program Flexibility Act
June 04, 2020
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Special Alert | Main Street Lending Program
May 29, 2020
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Paycheck Protection Program loan forgiveness
May 26, 2020
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Special alert | Congressional oversight commission report
May 20, 2020
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Special Alert | Paycheck Protection Program Forgiveness
May 19, 2020
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Special Alert | Paycheck Protection Program
May 12, 2020
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Special Alert | PPP loans
May 07, 2020
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Special Alert | Main Street Lending Program
May 01, 2020
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Special Alert | PPP loans
April 24, 2020
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CARES Act Amendment: Financial Services Implications
April 22, 2020
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Special Alert | Paycheck protection program
April 17, 2020
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Special Alert | Commercial paper funding facility commences
April 14, 2020
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Financial services regulatory expectations for COVID-19 | #4
April 13, 2020
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Special Alert | CARES Act: Focus on small and mid-sized businesses
April 10, 2020
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Financial services regulatory expectations for COVID-19: #3
April 03, 2020
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CARES Act: Financial services impacts
March 26, 2020
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Financial services regulatory expectations for COVID-19: #2
March 20, 2020
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Regulatory expectations for COVID-19
March 13, 2020
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Treasury finalizes expanded CFIUS authorities
March 11, 2020
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Federal Reserve finalizes rule on control determinations
March 01, 2020
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Spotlight on the CFPB
February 21, 2020
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Focus on ESG
January 24, 2020
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FINRA 2020 risk monitoring and examination priorities
January 15, 2020
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SEC 2020 examination priorities
January 09, 2020
2019
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Proposed revisions to CRA Regulations
December 18, 2019
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2020 Federal supervisory priorities
December 12, 2019
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Regulatory and legislative focus on antitrust compliance is growing
November 27, 2019
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FATF's best practices on beneficial ownership for legal persons
November 18, 2019
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FINRA's 2019 report on examination findings and observations
October 28, 2019
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Interagency framework for prudential standards, capital, liquidity, and resolution planning
October 17, 2019
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Regulatory capital requirements for insurance holding companies
September 18, 2019
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Final rule amendments to Volcker Rule
September 05, 2019
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Regulatory focus on technology risk
August 15, 2019
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FATF Report: Terrorist financing risk assessment guidance
July 26, 2019
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DOJ announces new antitrust compliance guidance and review of tech sector
July 25, 2019
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Simplification of regulatory capital rules
July 22, 2019
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Virtual assets and related providers - FATF recommendations
July 17, 2019
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SEC finalizes step in Title VII regulatory framework
July 02, 2019
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Focus on leveraged lending risks
June 18, 2019
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SEC Regulation Best Interest
June 11, 2019
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OCC semiannual risk perspectives
June 05, 2019
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DOJ expands focus on effective compliance programs
May 15, 2019
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CFPB debt collection proposal
May 13, 2019
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OFAC Framework for Sanctions Compliance Programs
May 13, 2019
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Federal Reserve proposal on control determinations
May 06, 2019
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SEC privacy notice and safeguards policies
April 30, 2019
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Focus on data privacy policy and enforcement
April 24, 2019
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Proposed FBO framework for prudential standards
April 18, 2019
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Interagency proposed rule on resolution planning
April 17, 2019
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Renewed focus on Fair Housing
April 10, 2019
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Proposed rule on TLAC debt investments
April 09, 2019
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FTC proposes amendments to the GLBA regulations
March 14, 2019
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CFPB proposes amendments to Payday Lending Rule
February 11, 2019
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Regulatory capital rules amended in response to CECL accounting standard
January 26, 2019
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FINRA releases 2019 Risk Monitoring and Examination Priorities
January 26, 2019
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The FSOC's report highlights areas of emerging risk and vulnerability
January 19, 2019
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FINRA report outlines cybersecurity practices
January 17, 2019
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SEC 2019 examination priorities
January 11, 2019
2018
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FINRA examination findings report
December 13, 2018
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Agencies encourage innovation in BSA/AML compliance
December 12, 2018
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Federal Reserve publishes first Financial Stability Report
December 11, 2018
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Federal reserve publishes inaugural supervision and regulation report
November 23, 2018
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Proposed framework for EPS, capital, and liquidity thresholds
November 23, 2018
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New supervisory rating system
November 09, 2018
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DOL proposes to expand 401(k) access
November 03, 2018
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SEC releases new strategic four-year plan
October 31, 2018
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FR outlines principles to guide CRA revisions
October 25, 2018
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Resource sharing for bank secrecy act compliance
October 25, 2018
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CFTC outlines principles for cross-border swaps regulation
October 09, 2018
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OCC outlines priorities for bank supervision in FY2019
September 27, 2018
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FINRA developments in RegTech for securities industry
September 22, 2018
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The role of supervisory guidance
September 18, 2018
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OCC seeks suggestions to modernize the Community Reinvestment Act
September 08, 2018
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Treasury releases FinTech report
September 04, 2018
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States enable cannabis-related businesses access to financial services
August 18, 2018
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Approach for consistency with EGRRCPA
July 18, 2018
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Banking culture: supervisory priority on 'softer ' measures
July 12, 2018
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Gaps in meeting BCBS risk data aggregation and reporting principles
July 05, 2018
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Fed's final single-counterparty credit rule for large banking organizations
June 23, 2018
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Agencies propose to simplify Volcker Rule compliance
June 20, 2018
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Regulatory reform bill becomes law
June 01, 2018
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Wolfsberg questionnaire for banks expands AML scope
May 16, 2018
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Changes to regulatory capital rules
May 16, 2018
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Financial Stability Board releases toolkit for mitigating misconduct risk
May 16, 2018
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Amendments to regulatory capital rules
May 04, 2018
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Treasury recommends modernization of the Community Reinvestment Act
April 20, 2018
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Senate passes regulatory reform bill
April 06, 2018
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2018 Examination priorities for SEC and FINRA
March 01, 2018
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Regulating virtual currencies
February 08, 2018
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Guidance for management
February 01, 2018
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Forthcoming regulatory reforms -federal reserve
January 31, 2018
