Compliance & Regs
KYC Utilities and the Future of Regulatory Onboarding
Written by: Joe Dunphy The topic of KYC utilities was a strong focal point at recent roundtables that we held ...Creating an Effective Vendor Risk Management Program
Regulations including Basel II, SOX, PCI-DSS, HIPAA, GLBA and FFIEC guidelines, among others, mandate that risk-management policies extend to third-party ...Bank Regulations in Hong Kong
Hong Kong’s Financial Center Hong Kong is a major international financial center, comprising an integrated network of institutions and markets ...OCC Finalizes Heightened Standards for Financial Institutions
On September 2, 2014, the OCC issued final guidance around strengthening governance and risk management practices of large financial institutions. ...Account Relationships with Third-Party Payment Processors
FDIC Clarifying Supervisory Approach to Institutions Establishing Account Relationships with Third-Party Payment Processors On July 28th 2014, the FDIC issued ...Validating Business Continuity Plans Using Failure Point Exercise Methodology
By Geary Sikich Imagine that your plan has been implemented as it was designed. You and your organization carried out ...The Volcker Rule: Mission Impossible
Politicians have given a lot of attention to the Volcker Rule in testimonies to the House and Senate in early ...Derivatives Transparency Is Essential to End TBTF
Thomas Hoenig of the Federal Deposit Insurance Corp. recently highlighted a number of key items left in regulators’ agenda to ...Why the Bank Leverage Ratio Is Important
Mayra Rodríguez Valladares is managing principal at MRV Associates, a New York-based capital markets and financial regulatory consulting and training ...Lawmakers’ Global Competitiveness Argument Is a Red Herring
The House Oversight and Investigations Subcommittee will hold an important hearing titled “The Growth of Financial Regulation and its Impact ...
