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17 Sep 2018, 11:59 am
” In January 2018, then-Associate Attorney General Rachel Brand issued such a revised policy “limiting use of agency guidance documents in affirmative civil enforcement cases. [read post]
13 Jun 2018, 9:07 am
In their supervisory role, partners typically set the tone for, and dictate the parameters of, their interactions with associates. [read post]
27 Sep 2022, 6:18 am
This is a very important duty in the financial industry, as it ensures the associated persons under the brokerage firm’s umbrella are compliant with FINRA’s rules. [read post]
17 Nov 2020, 1:57 am
AUTOCONTROL is a non-for-profit association that acts as a self-regulatory and supervisory body for the advertising industry in Spain. [read post]
14 Nov 2018, 2:09 am
It summarises the key elements of the rules and explains the associated objectives and outcomes. [read post]
27 Aug 2017, 6:27 am
Toomey is an associate, at Arnold & Porter Kaye Scholer LLP. [read post]
4 Jan 2021, 11:05 am
FINRA has suspended Jason Collichio from associating with any FINRA member in any principal capacity for three months. [read post]
6 Mar 2024, 10:00 pm
During a key year for EU financial institutions and their critical service providers—with implementation projects for the Digital Operational Resilience Act (DORA) well underway—the ECB signals that outsourcing and resiliency, particularly risks associated with cloud outsourcing and concentration risks, will be a top priority on its supervisory agenda. [read post]
6 Mar 2024, 10:00 pm
During a key year for EU financial institutions and their critical service providers—with implementation projects for the Digital Operational Resilience Act (DORA) well underway—the ECB signals that outsourcing and resiliency, particularly risks associated with cloud outsourcing and concentration risks, will be a top priority on its supervisory agenda. [read post]
6 Mar 2024, 10:00 pm
During a key year for EU financial institutions and their critical service providers—with implementation projects for the Digital Operational Resilience Act (DORA) well underway—the ECB signals that outsourcing and resiliency, particularly risks associated with cloud outsourcing and concentration risks, will be a top priority on its supervisory agenda. [read post]
6 Mar 2024, 10:00 pm
During a key year for EU financial institutions and their critical service providers—with implementation projects for the Digital Operational Resilience Act (DORA) well underway—the ECB signals that outsourcing and resiliency, particularly risks associated with cloud outsourcing and concentration risks, will be a top priority on its supervisory agenda. [read post]
6 Mar 2024, 10:00 pm
During a key year for EU financial institutions and their critical service providers—with implementation projects for the Digital Operational Resilience Act (DORA) well underway—the ECB signals that outsourcing and resiliency, particularly risks associated with cloud outsourcing and concentration risks, will be a top priority on its supervisory agenda. [read post]
6 Mar 2024, 10:00 pm
During a key year for EU financial institutions and their critical service providers—with implementation projects for the Digital Operational Resilience Act (DORA) well underway—the ECB signals that outsourcing and resiliency, particularly risks associated with cloud outsourcing and concentration risks, will be a top priority on its supervisory agenda. [read post]
28 Jan 2015, 9:38 am
” The CFPB further warns that a supervised entity “may risk violating the law if it relies upon provisions of an NDA to justify disclosing CSI in a manner not otherwise permitted” and notes that any disclosure of CSI outside of the applicable exceptions would require prior written approval from the Associate Director of Supervision, Enforcement and Fair Lending. [read post]
10 Jul 2020, 6:54 am
On 9 July 2020, the Financial Stability Board (FSB) and the Basel Committee on Banking Supervision (Basel Committee) issued a report on supervisory issues associated with benchmark transition. [read post]
12 May 2015, 12:59 pm
First, firms that have a record of skirting supervisory rules may endure enhanced FINRA scrutiny. [read post]
17 May 2023, 12:15 pm
On 16 May 2023, the Prudential Regulation Authority (PRA) published a speech given by Rebecca Jackson at the Association of Foreign Banks Mansion House lunch, in which she discusses a step change in how the PRA uses supervisory and firm data. [read post]
10 Aug 2015, 10:25 am
Mishkin The American Bankers Association has sent a letter to the DOJ, Fed, OCC, FDIC, HUD and CFPB requesting confirmation “in interagency guidance, updated exam procedures, and where appropriate amended regulations that the Agencies’ consideration of disparate impact claims in both the supervisory and enforcement context will be governed by standards consistent with the [Supreme] Court’s framework [in Inclusive Communities.] [read post]
26 Jun 2023, 9:42 am
On June 16, 2023, the Federal Deposit Insurance Corporation (FDIC) released an update to its Supervisory Guidance on Multiple Re-Presentment NSF Fees (FIL-40-2022) (the “Guidance”), to provide additional guidance for supervised institutions on the consumer compliance risks associated with assessing multiple non-sufficient funds (NSF) fees for the re-presentment of unpaid transactions. [read post]
20 May 2021, 7:28 am
Continue reading The post Calton & Associates, Inc. [read post]
