Regulatory Alerts
Alerts
The Regulatory Alerts are issued by KPMG's Financial Services Regulatory Practice to highlight emerging issues in the financial services industry as well as considerations for response.
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Many of the Alerts are prepared in conjunction with other KPMG Financial Risk Management practices to promote a cohesive approach. For additional information on regulatory issues affecting the financial services industry, please review our Regulatory Practice Letter and Washington Report issuances.
Regulatory Alert | January 2019
FINRA releases 2019 Risk Monitoring and Examination Priorities
Regulatory Alert | January 2019
The FSOC’s Annual Report highlights areas of emerging risk and vulnerability
Regulatory Alert | January 2019
FINRA report outlines cybersecurity practices
Regulatory Alert | January 2019
SEC 2019 Examination Priorities
Regulatory Alert | December 2018
Agencies encourage innovation in BSA/AML compliance
Regulatory Alert | December 2018
Federal Reserve publishes first Financial Stability Report
Regulatory Alert | November 2018
Federal reserve publishes inaugural supervision and regulation report
Regulatory Alert | November 2018
Proposed Framework for EPS, Capital, and Liquidity Thresholds
Regulatory Alert | November 2018
New supervisory rating system
Regulatory Alert | November 2018
The U.S. Department of Labor proposed a new rule that would permit small businesses to join together to offer 401(k) plans.
Regulatory Alert | October 2018
The SEC released its new four-year strategic plan, as required by the Government Performance and Results Modernization Act of 2010.
Regulatory Alert | October 2018
Resource sharing by community banks and credit unions for Bank Secrecy Act compliance
Regulatory Alert | October 2018
Federal Reserve outlines principles to guide CRA revisions
Regulatory Alert | October 2018
CFTC white paper outlines principles for revisions to cross-border swaps regulation
Regulatory Alert | September 2018
OCC outlines priorities for bank supervision in FY2019
Regulatory Alert | September 2018
FINRA outlines developments in RegTech for securities industry
Regulatory Alert | September 2018
Regulatory Alert | The role of supervisory guidance
Regulatory Alert | September 2018
OCC seeks suggestions to modernize the Community Reinvestment Act
Regulatory Alert | September 2018
Treasury releases FinTech report
Regulatory Alert | August 2018
States move to enable cannabis-related businesses access to financial services
Federal banking agencies outline approach for consistency with EGRRCPA
Banking culture: supervisory priority on “softer” measures
Gaps in meeting BCBS risk data aggregation and reporting principles
Fed’s final single-counterparty credit rule for large banking organizations
Agencies propose to simplify Volcker Rule compliance
Regulatory reform bill becomes law
Wolfsberg Group Releases New Correspondent Banking Due Diligence Questionnaire (CBDDQ) and related guidance materials
Federal banking agencies propose changes to regulatory capital rules affecting large banking organizations
Financial Stability Board releases toolkit for mitigating misconduct risk
Agencies propose amendments to regulatory capital rules in response to CECL accounting standard
Treasury recommends modernization of the Community Reinvestment Act
Senate passes regulatory reform bill
Regulatory Alert | February 2018
2018 Examination priorities for SEC and FINRA
Regulatory Alert | February 2018
Regulating virtual currencies
Regulatory Alert | January 2018
Guidance for management
Regulatory Alert | January 2018
Forthcoming regulatory reforms -federal reserve
Regulatory Alert | December 2017
Misconduct risk, culture, and supervision – FRBNY whitepaper
Regulatory Alert | November 2017
Treasury recommends changes to FSOC SIFI designations processes
Regulatory Alert | November 2017
Senate proposal would raise the SIFI threshold for BHCs
Regulatory Alert | November 2017
Treasury Report on Capital Markets
Regulatory Alert | November 2017
Treasury Report on the Asset Management and Insurance Industries
Regulatory Alert | September 2017
Supervision of Large Financial Institutions
Regulatory Alert | August 2017
CFPB has proposed changes to its Prepaid Accounts Rule
Regulatory Alert | August 2017
Global code of conduct for foreign exchange
Regulatory Alert | August 2017
Now is the time to prepare for new customer protection rules covering seniors and other vulnerable adults
Regulatory Alert | August 2017
Guidance for boards: Federal Reserve proposes corporate governance guidance to clarify supervisory expectations for the roles and responsibilities of bank boards in large institutions
Consolidated audit trail releases technical specifications for SROs
Treasury Department releases first report on proposed changes to financial services regulation
The Impact of the Trump Administration on Financial Services: The Opening Stretch
Regulatory Alert | February 2017
The SEC and the FINRA recently released their annual letters outlining regulatory and examination priorities for 2017.
Regulatory Alert | January 2017
Cross-Selling and Complaints Risk Management
Regulatory Alert | December 2016
OCC Seeks Comment on a Possible FinTech Charter
Regulatory Alert | November 2016
The Republican Party retained control of both houses of Congress and gained control of the presidency following the November 8 elections.
Regulatory Alert | October 2016
Retail Sales Practices and Incentive Compensation Under Heightened Scrutiny
Regulatory Alert | October 2016
OCC Takes a Step towards a FinTech Charter
Regulatory Alert | September 2016
Aligning and enhancing regulatory reporting for greater strategic advantage
Regulatory Alert | August 2016
Debt Collection – CFPB Reveals Outline for Future Rulemaking
Regulatory Alert | August 2016
Principle-based reserving update: New York adopts PBR, implementation in 2018
Regulatory Alert | August 2016
Raising Awareness of Diversity and Inclusion: Financial institutions’ voluntary reporting
Regulatory Alert | August 2016
Federal Reserve’s two-track approach to regulatory capital for insurers
Insurance principle-based reserving - Emerging industry challenges and opportunities
Linking Compensation, Conduct, and Culture: Incentive-Based Compensation Arrangements – Interagency Notice of Proposed Rulemaking
Department of the Treasury Whitepaper - Opportunities and Challenges in Online Marketplace Lending
Net Stable Funding Ratio: Liquidity Risk Measurement Standards and Disclosure Requirements - Notice of Proposed Rulemaking
Financial Stability Oversight Council - Update on Review of Asset
Management Products and Activities
U.S. Department of Labor finalizes rules redefining a fiduciary for purposes of retirement investment advice
Federal Reserve Reproposes Rules on Single-Counterparty Credit Limits for Large Banking Organizations
CFPB Enforcement Action – Data security practices and protection of consumer personal information
Debate continues to surround the U.S. Department of Labor’s proposal to redefine a fiduciary for retirement investment advice
Regulatory Alert | January 2016
Examining the U.S. Department of Labor proposal to redefine a fiduciary for retirement investment advice
Regulatory Alert | December 2015
US/EU Covered Agreement Talks Begin; Solvency II Looms January 1, 2016
Regulatory Alert | December 2015
SEC Increases Scrutiny of Outsourced Compliance Activities
Regulatory Alert | November 2015
Federal Reserve Proposes TLAC and LTD Rule for GSIBs and IHCs
SEC Intensifies Scrutiny of Private Equity Real Estate Funds
Regulatory Alert #14-04 | August 8, 2014
New SEC Guidance on Custody Rules Offers Mixed News for Private Fund Advisers
Regulatory Alert #14-03 | March 21, 2014
Federal Reserve Board Releases Results of 2014 Dodd-Frank Act Supervisory Stress Tests
Regulatory Alert #14-02 | February 19, 2014
Federal Reserve Board Approves Final Rule Establishing Enhanced Prudential Standards
Regulatory Alert #14-01 | January 17, 2014
Industry Update to Implementation of Final Volcker Rule
Regulatory Alert - September 2013
Servicemember Protections
CFPB Mortgage Rules Readiness Guide
Ability to Repay and Qualified Mortgages: Industry Updates
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