The Washington Report | For the week ended October 10, 2014

The Washington Report | October 10, 2014

In this issue...


Safety & Soundness

  • Basel Committee Issues Proposal to Revise Standardized
    Approach for Measuring Operational Risk Capital
  • FSOC Discusses the Asset Management Industry and Proposed
    Changes to the Designation Processes
  • Basel Committee Publishes Frequently Asked Questions
    Regarding Basel III Leverage Ratio
  • Federal Reserve Publishes Frequently Asked Questions
    Regarding Competitive Review for Bank Application Processes
  • OCC Reports Loan Growth Accelerates Among Southern District
    Community Banks and Thrifts

Enterprise & Consumer Compliance

  • CFPB Forum Focuses on Checking Account Screening Reports
  • CFPB Takes Enforcement Action against a State Bank for
    Deceptive Practices Related to Checking Accounts
  • FDIC Event to Focus on Implementation of Qualified Mortgage
    and Loan Originator Compensation Rules

Capital Markets & Investment Management

  • SEC Risk Alert and FAQs Address Broker-Dealer Obligations
    When Engaging in Unregistered Transactions on Behalf of Customers
  • FINRA Announces Updates of the Interpretations of Financial
    and Operational Rules
  • FINRA Study Highlights Vulnerability of Renters
  • OCC Releases Quarterly Report on Bank Trading and
    Derivatives Activity
  • SEC, FINRA, and MSRB to Hold Compliance Outreach Program for
    Municipal Advisors
  • Enforcement Actions

Recent Supervisory Actions

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