The Washington Report | For the week ended January 8, 2016

The Washington Report | For week ended January 8, 2016

In this issue...


Safety & Soundness

  • Federal Reserve Seeks Comment on Proposed Policy Statement and Framework for the Countercyclical Capital Buffer
  • BIS Paper Outlines Four Lines of Defense Model
  • Federal Reserve Releases Capital Planning Guidance to Large Financial Institutions
  • Basel Committee Seeks Comment on Application of Core Principles to Financial Inclusion 

Enterprise & Consumer Compliance

  • Banking Agencies Publish New CRA Asset Size Thresholds
  • CFPB Issues Monthly Complaint Report
  • FTC Issues Enforcement Policy Statement on Deceptively Formatted Advertising Including “Native Advertising” Online
  • Enforcement Actions 


  • IAIS Announces Launch of Self-Assessment and Peer Review  

Capital Markets & Investment Management

  • IOSCO Publishes Crowdfunding Survey Report
  • IOSCO Issues Final Report on Sound Practices Related to Use of External Credit Ratings; SEC Issues Staff Report on Credit Ratings Agencies
  • IOSCO Publishes Reports on Business Continuity and Recovery Planning for Trading Venues and Financial Intermediaries
  • CFTC Issues No-Action Relief Letters
  • CFTC Seeks Comment on Technical Specifications for Certain Swap Data Elements
  • SEC Releases ANPR and Concept Release on Transfer Agent Rules
  • FINRA Releases 2016 Regulatory and Examination Priorities  

Financial Crimes

  • FinCEN Takes Action Against Precious Metals Dealer

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