Industries

Helping clients meet their business challenges begins with an in-depth understanding of the industries in which they work. That’s why KPMG LLP established its industry-driven structure. In fact, KPMG LLP was the first of the Big Four firms to organize itself along the same industry lines as clients.

How We Work

We bring together passionate problem-solvers, innovative technologies, and full-service capabilities to create opportunity with every insight.

Learn more

Careers & Culture

What is culture? Culture is how we do things around here. It is the combination of a predominant mindset, actions (both big and small) that we all commit to every day, and the underlying processes, programs and systems supporting how work gets done.

Learn more

Regulatory Alerts

Quick hitting summaries of specific regulatory developments and their impact on financial services firms.

2023
No results found.
iconimg Insight
Webcast Replay Webcast Upcoming

Noncompliance with Laws and Regulations, Including Fraud: PCAOB Proposed Amendments

Potential areas for company risk focus

iconimg Insight
Webcast Replay Webcast Upcoming

FRB Reports: Supervision and Regulation; Financial Stability

Semiannual reports highlighting supervisory and regulatory developments, supervisory priorities, and financial system risks

iconimg Insight
Webcast Replay Webcast Upcoming

CFPB Proposal to Supervise Big Tech and Other Wallet/Payment Providers

Proposal to supervise “larger participants” in the nonbank market for “general-use consumer digital payment applications”

iconimg Insight
Webcast Replay Webcast Upcoming

Financial Stability, Nonbank Supervision: FSOC Final Guidance

Analytic Framework and Guidance for identifying, assessing, and responding to potential bank and nonbank financial stability risks

iconimg Insight
Webcast Replay Webcast Upcoming

DOJ Safe Harbor Policy for Voluntary Self-Disclosures in Mergers & Acquisitions

DOJ Safe Harbor Policy for Voluntary Self-Disclosures in M&A

iconimg Insight
Webcast Replay Webcast Upcoming

Executive Order on Safe, Secure, and Trustworthy AI

Call for AI risk management actions/standards for privacy, security, consumer/worker protections, and innovation

iconimg Insight
Webcast Replay Webcast Upcoming

Debit Interchange Fee Cap: FRB Reg II Proposed Amendments

Proposal to amend the interchange fee cap and methodology

iconimg Insight
Webcast Replay Webcast Upcoming

Final Principles for Climate-Related Financial Risk Management

Interagency guidance for banks over $100B to identify, measure, monitor, and control climate-related financial risks

iconimg Insight
Webcast Replay Webcast Upcoming

Community Reinvestment Act: Interagency Final Rule

Updated CRA framework recognizing “branchless” banking and clarifying CRA-eligible activities, metrics/benchmarks and processes

iconimg Insight
Webcast Replay Webcast Upcoming

”Open Banking” 1033 Personal Financial Data Rights: CFPB Proposal

Proposal to provide consumers “more control” over their personal financial data related to deposit, savings, and credit cards accounts

iconimg Insight
Webcast Replay Webcast Upcoming

Short Sale Reporting: SEC Final Rule

New rule and Form SHO for monthly reporting of gross short sale positions and “net” activity by institutional investment managers

iconimg Insight
Webcast Replay Webcast Upcoming

Reporting of Securities Loans: SEC Final Rule

Daily reporting requirements and publication of information for covered securities loans and related modifications on most securities

iconimg Insight
Webcast Replay Webcast Upcoming

Volume-based Transaction Pricing: SEC Proposed Rule

Proposal to prohibit pricing for agency-related orders and to require disclosures around pricing tiers and membership

iconimg Insight
Webcast Replay Webcast Upcoming

Examinations: SEC 2024 Priorities

Focus areas include marketing practices, conflicts of interest, operational resiliency, and emerging financial technology

iconimg Insight
Webcast Replay Webcast Upcoming

“Junk Fees” Actions: FTC, CFPB, FCC, HUD, DOT, State

Ongoing “whole of government” actions to prohibit “hidden” and “falsely advertised” fees from consumer products and services

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Beneficial Ownership Reporting Amendments

Shorter reporting timeframes for investors with more than a 5 percent beneficial ownership of a covered class of equity securities

iconimg Insight
Webcast Replay Webcast Upcoming

Expanded Risk Governance and Management: FDIC Proposed Guidelines

Expectations for board governance and for board and management risk management responsibilities

iconimg Insight
Webcast Replay Webcast Upcoming

CA Climate Laws: GHG Emissions and Risk Reporting

New CA laws requiring measurement and reporting of GHG emissions (Scopes 1, 2, and 3) and climate-related financial risks

iconimg Insight
Webcast Replay Webcast Upcoming

Consumer/Worker Protections: FTC, FCC, and DOL Sign MOUs

Agreements to protect consumers from electronic spam/scams and workers from unfair competition/business practices

iconimg Insight
Webcast Replay Webcast Upcoming

Names Rule: SEC Final Amendments

Preventing Misleading or Deceptive Fund Names

iconimg Insight
Webcast Replay Webcast Upcoming

Risk Alert: SEC Investment Adviser Supervision

Insights into the selection of advisers for exams, including risk factors, and document requests

iconimg Insight
Webcast Replay Webcast Upcoming

Long-Term Debt Requirements: Interagency Proposed Rule

Proposal to impose a LTD requirement on certain large BHCs, IHCs, and insured depository institutions

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Private Fund Adviser Reforms: Final Rules

Increased reporting/disclosure to investors; new compliance documentation requirements for all registered advisers

iconimg Insight
Webcast Replay Webcast Upcoming

AML Enforcement: SEC Risk Alert & FFIEC Exam Manual Updates

Increasing intensity to AML programs, customer identification programs, CDD, and beneficial ownership obligations

iconimg Insight
Webcast Replay Webcast Upcoming

“Covered Technologies” and Conflicts of Interest: SEC Proposal

To address conflicts arising from technologies that optimize for, predict, guide, forecast, or direct investor decisions

iconimg Insight
Webcast Replay Webcast Upcoming

Resolution & Living Wills: FDIC and Joint (FDIC/FRB) proposals

Strengthening resolution planning, strategy, and reporting

Webcast Replay Webcast Upcoming

Capital Requirements: Proposed “Basel III Endgame” & GSIB Capital Surcharges

Intended to introduce more transparency, consistency, and risk sensitivity to the frameworks

iconimg Insight
Webcast Replay Webcast Upcoming

Public Company Cybersecurity Risk Management, Strategy, Governance and Incident Disclosure

SEC Final Rule

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Money Market Fund Reforms & Customer Protection Rule Proposal

SEC efforts to improve fund resiliency and stability

iconimg Insight
Webcast Replay Webcast Upcoming

2023 Regulatory Agendas: Federal Banking Regulators

Key list of upcoming rulemaking

iconimg Insight
Webcast Replay Webcast Upcoming

SEC 2023 Regulatory Agenda

Continuing a brisk pace and breadth of activity

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Examinations Risk Alert: Marketing Rule

Expanding examinations focus on testimonials and endorsements, third-party ratings, and Form ADV disclosures

iconimg Insight
Webcast Replay Webcast Upcoming

Third-Party Risk Management (TPRM): Final Interagency Guidance

Replaces each agency’s prior third-party guidance; reiterates sound risk management

iconimg Insight
Webcast Replay Webcast Upcoming

Bank Supervision: OCC “Persistent Weaknesses”

Reiterating the importance of bank risk management, issues management, and governance

iconimg Insight
Webcast Replay Webcast Upcoming

Biometric Information: Federal Trade Commission UDAP

Policy statement on the collection and use of “biometric information”

iconimg Insight
Webcast Replay Webcast Upcoming

Supervisory Focus: FRB Highlights

FRB Reports: Supervision and Regulation, Financial Stability

iconimg Insight
Webcast Replay Webcast Upcoming

Clearing Agency Risk Management and “Living Wills”

Proposed changes to the Covered Clearing Agency Standards impacting margin requirements and the elements of recovery and wind-down plans

iconimg Insight
Webcast Replay Webcast Upcoming

Form PF and Share Repurchase Disclosures: Final Rules

Expands investment adviser Form PF reporting and issuer disclosure of share repurchase plans and activity

iconimg Insight
Webcast Replay Webcast Upcoming

FDIC Deposit Insurance Reform Options

Potential alternatives to the current deposit insurance system

iconimg Insight
Webcast Replay Webcast Upcoming

Bank Supervision and Regulatory Change

Federal push for changes to financial services supervision and regulation

iconimg Insight
Webcast Replay Webcast Upcoming

Enforcement/Supervision to “Automated Systems”

Ensuring “automated systems” development and use is consistent with federal laws

iconimg Insight
Webcast Replay Webcast Upcoming

Financial Stability, Nonbank Supervision: FSOC Proposals

Analytic framework and related guidance for identifying, assessing, and responding to potential financial stability risks

iconimg Insight
Webcast Replay Webcast Upcoming

Environmental Justice: New Executive Order

White House says “environmental justice is a duty of all executive branch agencies and should be incorporated into their missions”

iconimg Insight
Webcast Replay Webcast Upcoming

Ensuring Trust in AI: Commerce Department Request for Comment

Seeking input on how to ensure that AI works as claimed and without causing harms

iconimg Insight
Webcast Replay Webcast Upcoming

Bank Regulatory Change

Administration encourages federal banking agencies to make regulatory and supervisory changes

iconimg Insight
Webcast Replay Webcast Upcoming

CFPB Small Business Lending Data (Section 1071)

Final rule governing data collection and reporting

iconimg Insight
Webcast Replay Webcast Upcoming

FTC Recent Focus on Tech: Digital Advertising, Cloud

Increasing scrutiny of technology adoption and use

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Proposal to Expand Regulation SCI

Areas of focus: policies/procedures, incident notification, and system reviews/testing

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Proposals on Cyber Risk Management for Market Entities

Areas of focus: policies/procedures, cyber risk assessments, incident notification/disclosure, expanded coverage among participants

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Proposes Amendments to Regulation S-P

Changes to the Safeguards and Disposal Rules to address detection and notification of customer data breaches

iconimg Insight
Webcast Replay Webcast Upcoming

DOJ Initiatives on Compensation, Voluntary Self-Disclosure

Continuing focus on accountability and cooperation

iconimg Insight
Webcast Replay Webcast Upcoming

White House Announces National Cybersecurity Strategy

Calls to shift liability and investment and promote secure and resilient software products/services

iconimg Insight
Webcast Replay Webcast Upcoming

Fraud, Identity Theft, and Other Scams

Approximately 5.15 million reports received from consumers in 2022

iconimg Insight
Webcast Replay Webcast Upcoming

Russia-Ukraine War: Expanded U.S. Sanctions, FATF Action

U.S., G7, and other countries announce “expanded and intensified” Russia sanctions and set price caps on Russian-origin petroleum products

iconimg Insight
Webcast Replay Webcast Upcoming

NAIC 2023 Strategic Priorities for State Insurance Regulators

Focus areas including climate risk, data/AI, cybersecurity, marketing, and consumer protections

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Proposes Amendments to the Custody Rule

Expands authority to all assets, including crypto

iconimg Insight
Webcast Replay Webcast Upcoming

SEC final rule for T+1 settlement cycle

Shortening the securities transaction settlement cycle

iconimg Insight
Webcast Replay Webcast Upcoming

Focus on Tech: Cloud, AI, Personal Data

Heightened regulatory expectations for technology risk management, operational resiliency, risk governance, data collection and privacy

iconimg Insight
Webcast Replay Webcast Upcoming

Examinations: SEC 2023 Priorities

Focus areas include adherence to new rules, RIAs to private funds, retail investor “best interest” ESG-related services/funds, and “crypto-related” trading

iconimg Insight
Webcast Replay Webcast Upcoming

Consumer Fees: CFPB Proposal on Credit Card Late Fees

Continued focus on consumer fees and “fairness”

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Examinations Risk Alert: Regulation Best Interest

Observations across the four components: Disclosure, Care, Conflict of Interest, and Compliance

iconimg Insight
Webcast Replay Webcast Upcoming

DOJ Revises Criminal Division Corporate Enforcement Policy

"Benefits" for self-disclosure, cooperation, and remediation

iconimg Insight
Webcast Replay Webcast Upcoming

Climate Risk: FRB’s Pilot Scenario Analysis and Risk Management Practices

Quantitative and qualitative measures for assessing impact of physical and transition risk

iconimg Insight
Webcast Replay Webcast Upcoming

Examination and Risk Monitoring: FINRA 2023 Report

Outline of key risk areas and new topics

iconimg Insight
Webcast Replay Webcast Upcoming

CFPB Proposal to Supervise Big Tech and Other Wallet/Payment Providers

Proposal to supervise “larger participants” in the nonbank market for “general-use consumer digital payment applications”

iconimg Insight
Webcast Replay Webcast Upcoming

CFPB Regulatory Agenda

Continuing focus on fees

iconimg Insight
Webcast Replay Webcast Upcoming

SEC Regulatory Agenda

Continuing its ambitious pace and breadth of activity

SEC Regulatory Agenda
    2022
    No results found.
    iconimg Insight
    Webcast Replay Webcast Upcoming

    Focus on Non-Bank Financial Firms, P2P Platforms, and Crypto Exchanges

    Banks and non-banks should anticipate heightened regulatory attention

    iconimg Insight
    Webcast Replay Webcast Upcoming

    FRB Reports: Financial stability risks; Supervision and regulatory priorities

    Large banks mitigate financial uncertainties; the FRB denotes “work to do” to meet supervisory expectations for governance and controls

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Bank Lending: FRB Survey Indicates Industry Expects Mild Recession, Tightening Standards

    Tightening of standards and terms across business loans; increased demand for credit card loans and HELOCs

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Third party risk management: SEC Investment Adviser Proposal

    New proposed oversight requirements for investment advisers using third party service providers

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Consumer and Investor Fees: SEC, CFPB, and FTC Focus

    Recent regulatory releases reinforce the increasing focus on fees

    iconimg Insight
    Webcast Replay Webcast Upcoming

    CFPB Proposals for Section 1033, Personal Financial Data Rights

    Outline of proposals to implement section 1033 of the Dodd-Frank Act

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Data Retention and Deletion: Increasing Regulatory Expectations

    Regulators have heightened rulemaking and enforcement to strengthen recordkeeping, data retention, and data deletion requirements

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Climate Risk: Insurance data collection; FSB progress reports

    Continued focus on climate-related financial risks, related disclosures, and prudential oversight

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Large Bank Resolution: FRB, FDIC Joint ANPR

    Increasing concentration in the $250-$700 billion asset size prompts regulators to consider changes to LBO resolution requirements

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Crypto and Digital Assets: FSOC, NY Fed Reports on Financial Stability Implications

    Detailed reports on the financial stability risks of digital assets

    Crypto and Digital Assets: FSOC, NY Fed Reports on Financial Stability Implications
    Webcast Replay Webcast Upcoming

    Climate Risk: SEC’s Mandatory Climate Disclosures Proposal

    Quantitative and qualitative elements would have far-reaching impacts

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Climate Risk: FRB pilot scenario analysis

    Measuring and managing climate-related risks

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Crypto & Digital Assets: Treasury & DOJ Report Recommendations

    A look at recommendations to inform future policies, including consumer/investor protections, financial crimes, and national security

    iconimg Insight
    Webcast Replay Webcast Upcoming

    DOJ shifts policies, encouraging compliance "incentives and deterrence"

    Enhancing and investing in the ethics & compliance program

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Regulation and supervision: Agencies preview forthcoming priorities

    Key upcoming areas of focus

    iconimg Insight
    Webcast Replay Webcast Upcoming

    Inflation Reduction Act

    Provisions to address energy production, carbon emissions reduction

    iconimg Insight
    Webcast Replay Webcast Upcoming

    OCC principles for large bank climate risk management

    Large banks on notice for maturation of climate risk management programs

      Explore more regulatory insights

      Meet our team

      Image of Amy S. Matsuo
      Amy S. Matsuo
      Principal and National Leader, Regulatory Insights, KPMG US

      Get the latest thinking from KPMG

      KPMG Regulatory Insights comprise key industry practitioners and regulatory advisors from across the KPMG global network.

      Thank you

      Thank you for subscribing to Regulatory Insights thought leadership content. You will receive our next issue when we publish.

      Get the latest thinking from KPMG

      KPMG Regulatory Insights comprise key industry practitioners and regulatory advisors from across the KPMG global network.

      Please enter your information to receive KPMG Regulatory Insights updates.

      By submitting, you agree that KPMG LLP may process any personal information you provide pursuant to KPMG LLP's Privacy Statement.

      An error occurred. Please contact customer support.

      Thank you!

      Thank you for contacting KPMG. We will respond to you as soon as possible.

      Contact KPMG

      Use this form to submit general inquiries to KPMG. We will respond to you as soon as possible.

      By submitting, you agree that KPMG LLP may process any personal information you provide pursuant to KPMG LLP's Privacy Statement.

      An error occurred. Please contact customer support.

      Job seekers

      Visit our careers section or search our jobs database.

      Submit RFP

      Use the RFP submission form to detail the services KPMG can help assist you with.

      Office locations

      International hotline

      You can confidentially report concerns to the KPMG International hotline

      Press contacts

      Do you need to speak with our Press Office? Here's how to get in touch.

      Headline