Search for: "Office of the Comptroller of the Currency Compliance Management"
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27 Feb 2017, 3:29 pm
Following the CFTC’s lead, on February 23, 2017, the Board of Governors of the Federal Reserve System, the Office of Comptroller of the Currency and the ESAs issued guidance to swap dealers regarding compliance with their respective variation margin requirements for non-cleared swaps.[7] The Federal Reserve System and the Office of Comptroller of the Currency are the only Prudential Regulators that regulate swap dealers, so… [read post]
27 Feb 2017, 3:29 pm
Following the CFTC’s lead, on February 23, 2017, the Board of Governors of the Federal Reserve System, the Office of Comptroller of the Currency and the ESAs issued guidance to swap dealers regarding compliance with their respective variation margin requirements for non-cleared swaps.[7] The Federal Reserve System and the Office of Comptroller of the Currency are the only Prudential Regulators that regulate swap dealers, so… [read post]
27 Feb 2017, 3:29 pm
Following the CFTC’s lead, on February 23, 2017, the Board of Governors of the Federal Reserve System, the Office of Comptroller of the Currency and the ESAs issued guidance to swap dealers regarding compliance with their respective variation margin requirements for non-cleared swaps.[7] The Federal Reserve System and the Office of Comptroller of the Currency are the only Prudential Regulators that regulate swap dealers, so… [read post]
27 Feb 2017, 3:29 pm
Following the CFTC’s lead, on February 23, 2017, the Board of Governors of the Federal Reserve System, the Office of Comptroller of the Currency and the ESAs issued guidance to swap dealers regarding compliance with their respective variation margin requirements for non-cleared swaps.[7] The Federal Reserve System and the Office of Comptroller of the Currency are the only Prudential Regulators that regulate swap dealers, so… [read post]
31 Jan 2017, 1:06 pm
Comptroller of the Currency Thomas J. [read post]
4 Jan 2017, 3:55 pm
On an annual basis, the Chief Compliance Officer (“CCO”) of an RIA must conduct a review of the adviser’s compliance policies and procedures. [read post]
2 Jan 2017, 9:30 pm
However, a new announcement by the Office of the Comptroller of the Currency (OCC), a national banking regulator, indicates that the OCC will seek to regulate FinTech firms under fundamentally different rules than those that currently govern the banking industry. [read post]
19 Dec 2016, 2:48 pm
On December 12, 2016, the Federal Deposit Insurance Corporation (FDIC), the Federal Reserve Board and the Office of the Comptroller of the Currency (OCC) finalized rules that generally allow well-capitalized and well-managed banks and savings associations with less than $1 billion in total assets to benefit from an 18-month examination cycle rather than a 12-month cycle. [read post]
21 Nov 2016, 1:49 pm
The Supervisory Highlights report also reiterates that prudential banking regulators, including the Federal Reserve, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency, have made the prevention of redlining a priority. [read post]
19 Sep 2016, 11:24 am
Perhaps most surprising is the inclusion of a certification by the chair of the board (or designated member(s) of senior management) of compliance with the rule. [read post]
29 Aug 2016, 4:39 am
The CFPB’s announcement stated that its enforcement action was conducted in coordination with the Office of the Comptroller of the Currency (OCC), which entered into a separate consent order with the bank. [read post]
20 Jul 2016, 8:04 am
CII expressed its views in a comment letter to the agencies that developed the proposal, which are the SEC, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corp., the Federal Housing Finance Agency, and the National Credit Union Administration. [read post]
23 May 2016, 10:17 am
In cases where a government contractor is required to disclose cost or pricing data to the Government, the Contracting Officer can audit records relating to the accuracy, completeness, and currency of the disclosed data. [read post]
21 Apr 2016, 8:54 am
In cases where a government contractor is required to disclose cost or pricing data to the Government, the Contracting Officer can audit records relating to the accuracy, completeness, and currency of the disclosed data. [read post]
14 Mar 2016, 6:44 am
The Office of the Comptroller of the Currency (“OCC”), the primary federal regulator for most large banks, recently issued a new policy on agency enforcement actions seeking civil money penalties (“CMPs”) against institutions and individuals. [read post]
13 Jan 2016, 5:05 pm
Along those lines, the efficacy of using independent auditors, audit committees and management certifications to deter and minimize such insider misconduct became widely understood and embraced. [read post]
11 Jan 2016, 4:01 pm
Prominent lead arrangers in the syndicated loan market should expect inquiries from any number of potential government authorities, including the Federal Reserve, the Office of the Comptroller of the Currency (the “OCC“), the Federal Deposit Insurance Corporation (the “FDIC“) and state authorities such as attorneys general and financial supervisory agencies. [read post]
3 Jan 2016, 6:45 am
On December 16, 2015, the Office of the Comptroller of the Currency (the “OCC”) solicited public comment, through a Notice of Proposed Rulemaking (the “NPR”), [1] on proposed guidelines to establish standards for recovery planning by certain large insured national banks, insured Federal savings associations and insured Federal branches of foreign banks (the “Guidelines”). [read post]
15 Nov 2015, 9:30 pm
Second, Congress should create a new prudential supervisory agency which would consolidate the supervisory responsibilities of the Federal Deposit Insurance Corporation, the Federal Reserve, the Office of the Comptroller of the Currency, as well as those of the U.S. [read post]
16 Aug 2015, 3:53 pm
The six agencies that released their standards are the Federal Reserve Board, the Consumer Financial Protection Bureau (CFPB), the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA), the Office of Comptroller of the Currency (OCC), and the Securities and Exchange Commission (SEC). [read post]
