Compliance & Regs
To Regulate Foreign Banks in the U.S., ‘Trust, but Verify’
Mayra Rodríguez Valladares is managing principal at MRV Associates, a New York-based capital markets and financial regulatory consulting and training ...7 Ways to Improve Regulatory Document Management
By: Marc Murphy At a recent AML event, a speaker from a global financial institution claimed that regulatory coverage of ...Global Regulatory Changes Signal a Tectonic Shift for Derivatives Trading and Banks
By: Julian Fisher The center cannot hold! The day of banks making over-size profits from trading OTC derivatives, which comprised ...FDIC – Social Media: Consumer Compliance Risk Management Guidance
By: Kseniya (Kate) Strachnyi On December 11, 2013, the Federal Deposit Insurance Corporation (FDIC) issued FIL-56-2013 – Social Media: Consumer ...Are Banks at Risk of Missing Regulatory Deadlines?
By: Marc Murphy Attending a data management event last week in London, it suddenly dawned on me that banks are ...Preventing the Next Wave of Unreliable Financial Reporting
Why US Congress Should Amend Section 404 of the Sarbanes – Oxley Act By: Tim Leech Sarbanes – Oxley Section ...FATCA – The Best Opportunity for KYX!
By: Marc Murphy (Fenergo) Having attended the FATCA Forum event in London two weeks ago, one word kept cropping up ...Compliance Risk – Banking
By: Maria Coppinger-Peters Compliance risk is the current and prospective risk to earnings or capital arising from violations of, or ...Risk-Based Capital Standards: Establishment of a Risk-Based Capital Floor
Summary of the relevant sections of Dodd-Frank Act On June 6, 2011, the OCC, Federal Reserve, and FDIC (the “agencies”) ...Another Reform & Another Crisis?
The current financial crisis has spawned new regulations around credit, liquidity and systematic risks. Post Crisis, the regulators and supervisors ...
