Industries

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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.

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Regulatory Alerts

Quick hitting summaries of specific regulatory developments and their impact.

2024
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SEC FY 2024 Enforcement Actions & Leadership Changes

Record-Breaking Activity and Chair Resignation

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Supervision of Nonbank Digital Wallet/Payment Providers: CFPB Final Rule

Establishes supervision and examination authority

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Recovery Planning: OCC Final Rule

Expanding coverage to include $100B banks and consideration of financial and non-financial risks

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1033 Open Banking: CFPB Final Rule

Personal Financial Data Rights

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SEC 2025 Priorities: Examinations and Perspectives

Key Risks, Exam Priorities, and Policy Perspectives

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Premerger Notification: FTC and DOJ Final Amendments

Antitrust Focus in the M&A Process

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Corporate Compliance: DOJ Evaluation Updates/Pilot Programs

Changes to evaluations focusing on data access, resource allocation, and risk management of new technologies

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Market Rules: NMS SEC Amendments

Tick Sizes, Access Fees, and Order Pricing Transparency

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Bank-Third Party: Custodial Deposit Account Recordkeeping Proposal

Enhanced requirements to strengthen beneficial ownership and deposit insurance protections in custodial deposit accounts

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Bank Mergers: FDIC and OCC Policies/Amendments

Principle-based approaches to bank merger evaluations

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Spring 2024 Regulatory Agendas: SEC, CFTC, FinCEN, FRB, FDIC, OCC, and CFPB

Final and proposed rulemaking amidst legal challenges and Congressional Review Act timing

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Joint Data Standards: Interagency Proposal

Eight financial services agencies and Treasury propose data standards to promote interoperability

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Investment Company Reporting on Forms N-PORT and N-CEN: SEC Final Rule

Enhancing financial transparency of investment funds

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Capital: FRB Remarks Outlining Basel III Endgame Re-Proposal

Potential changes to tailor applicability and recalibrate risk areas (credit, operational, market)

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Financial Crime & AML: FinCEN Final Rule for Investment Advisers

AML/CFT program and suspicious activity reporting requirements

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Financial Crime & AML: FinCEN Final Rule on Real Estate Transfer Reporting

Reporting on non-financed transactions in the residential real estate market

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New AI Actions: White House Announcement; NIST, NTIA Guidance

GenAI risk management and software development, global AI standards, foundation model risks (“open-weight models”, misuse)

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Resolution & Living Wills: FDIC/FRB Final Guidance

Expectations, regardless of strategy, around capital, liquidity, governance, and operations

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Regulatory Focus: Third Party, "Nth" Parties, Intermediaries & Service Providers

Growing focus on risk management programs and robust governance practices across all relationships and activities

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Recovery Planning: OCC Proposed Rule

Expanding coverage to include $100B+ banks and financial and non-financial risks

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Proposal to Strengthen AML/CFT Programs Under BSA

Navigating the New AML/CFT Compliance Landscape

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Final Interagency Actions: Automated Valuation Models (AVMs), Reconsideration of Value

Quality control factors

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Resolution Plans: FDIC Final Rule

Resolution analysis, submissions, and filings

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Colorado Artificial Intelligence Act (CAIA)

Developers and deployers protections against “algorithmic discrimination”

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Cybersecurity Strategy: ONCD, GAO

Cross-sector harmony and reciprocity in cyber regulation

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SEC Risk Alert: Examining Broker-Dealers

Selection, scope, and document requests

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Buy Now, Pay Later (BNPL): CFPB Rule on Consumer Protections

Existing consumer protections for credit cards apply to BNPL credit

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Gaming and Event Contracts: CFTC Proposed Amendments/Prohibitions

Clarifies “gaming” activities and other types of event contracts prohibited from trading or clearing

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Customer Identification Program (CIP): SEC/FinCEN RIA/ERA Proposal

Proposal to expands customer identity program obligations—verification and documentation—to investment advisers

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Regulation S-P: SEC Final Amendments

Incident response programs, customer notifications, expanded coverage

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NIST Draft AI Guidance, Report, and Global Plan

Covering GenAI-related risk management and software development, synthetic content risks in AI, and global AI standards collaboration

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AI Policy Roadmap: Senate AI Working Group

Recommends funding priorities, legislative/regulatory actions, and areas for further study or consideration

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FRB Reports: Supervision and Regulation; Financial Stability

Increasing supervisory findings and declining ratings at banks of all sizes; focus on governance/controls and IT/operational risk

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Climate Risk: FRB Report on Scenario Analysis Pilot

Acknowledging differences in approach and data challenges

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Incentive-based Compensation: Interagency Proposed Rule

Seeks to curb “excessive risk-taking” and align compensation with sound risk management

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Investment Advice Fiduciary: DOL Final Retirement Security Rule

Expanded definitions of investment advice and recommendations

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Heightened Risk Standards: Focus on Trade Surveillance

Mitigating operational and market conduct risk

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Risk Alert: SEC Marketing Rule Compliance

Focus on true, fair, and balanced advertising

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Consumer Complaints: CFPB Analysis of 2023

Key Findings and Insights from Over One Million Complaints

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SEC Speaks: Recap of 2023 Actions

Highlights related to enforcements, examinations, and rulemaking activities

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Data Retention and Deletion: Devices and E-Comms

Ongoing enforcement trends and rulemakings highlight regulators’ focus on data capture, retention, and deletion

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SEC Examinations Risk Alert: T+1 Settlement Cycle

Assessing preparedness for the shift to a shortened settlement cycle

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Emerging Regulatory Focus: Operational Resilience

Identification of critical operations, disruption tolerances, and robust third-party oversight

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Physical Security: New CA Workplace Law

New requirements for workplace security

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SEC Final Amendments: Rule 605 of Regulation NMS

Expanding coverage and disclosure for execution of orders in NMS stocks

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SEC Climate-Related Disclosure: Final Rule

Less in final disclosures but anticipate continued regulatory focus on climate risk management, controls, data, analysis and testing

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Credit Card Late Fees: CFPB Final Rule

Changes to credit card late fees for larger card issuers

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Regulatory Perimeter: Expanding Financial Service Coverage

Acting independently and together financial services regulators are “closing gaps” in regulatory coverage

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NAIC 2024 Strategic Priorities for State Insurance Regulators

Focus areas including climate risk, AI/predictive analytics, Cyber, fair marketing, oversight/transparency, and consumer protections

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Heightened Risk Standards: Focus on Data Management (& BCBS 239)

Intensified scrutiny of risk data management/governance practices

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Fraud, Identity Theft, and Other Scams

2023 FTC Data Book Insights

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Financial Crimes & AML: FinCEN Proposal and Treasury Actions

Treasury and FinCEN actions to assess and strengthen AML/CFT/BSA coverage

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Form PF Reporting: SEC, CFTC Joint Final Rule

Expanded reporting requirements for investment advisers to private funds, including hedge funds

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Heightened Risk Standards: Focus on Risk Frameworks, Processes, and Controls

Increased regulatory scrutiny in the management of risk and controls

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Dealer Definition: SEC Final Amendments

Expansion of registration and coverage to traders/hedge funds engaging in liquidity-providing roles

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Heightened Risk Standards: Focus on AML/BSA

Increased regulatory scrutiny in the management of AML/BSA

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AI Regulation: Cross-Agency Actions

“Whole-of-government” execution of Executive Order to establish safe, secure, and trustworthy AI

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Fees: CFPB Overdraft Lending Proposed Rule

Directed to financial institutions over $10B; would limit fees and exemptions

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Swaps: SEC Examinations Risk Alert; CFTC Proposals

To strengthen reporting, recordkeeping, risk management, and operational resilience

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FTC NPR to Children’s Online Privacy (COPPA)

Amendment to increase restrictions on the collection, use, and disclosure of children’s personal information

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Regulatory Oversight: FINRA 2024 Annual Report

Key supervisory risk areas

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SEC Approves Firsts in Listing/Trading of Spot Bitcoin ETPs

Ongoing focus on investor protections, disclosure requirements, standards of conduct, and exchange rules

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Anti-bribery: Extension of Prohibitions to “Foreign Officials”

New anti-corruption/ anti-bribery focus includes demand, receipt, or acceptance of bribes by “foreign officials”, expanding upon FCPA

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Commercial Real Estate (CRE): Expanded Regulatory Focus

Reports/guidance emphasize CRE challenges and risk mitigation

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Antitrust: DOJ/FTC 2023 Merger Guidelines

11 guideline areas for all industries/sectors

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FinCEN CTA: Final Rule on Beneficial Ownership Information Access

CTA final rule establishes who may access, for what purposes, and necessary safeguards; second of three related rulemakings

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Capital: FRB Remarks Outlining Basel III Endgame Re-Proposal

Potential changes to tailor applicability and recalibrate risk areas (credit, operational, market)

    2023
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    FDIC Deposit Insurance Signage and Advertising: Final Rule

    Focus on responsible advertising and clarity of insured versus non-insured products

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    AI Actions: NIST RFI

    Guidelines coming for AI evaluation, red-teaming, “and more”

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    U.S. Treasury Securities Clearing Agency Standards: SEC Final Rule

    Enhanced treasury securities risk management practices, customer protections, and clearing & settlement standards

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    Illicit Finance & Corruption: Treasury Actions

    Efforts to thwart threats posed by illicit finance, money laundering, sanctions evasion and corruption

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    Fall 2023 Regulatory Agendas: Key Federal Banking Agencies

    Key list of upcoming rulemakings

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    Landmark Actions Coming: The AI Act and Growing US Regulations

    “Whole-of-government” actions increasing as agencies intensify their focus on safe, secure, and trustworthy AI/GenAI

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    Analysis of Regulations: OMB Circular A-4 Cost-Benefit Updates

    Revisions to expand consideration of societal costs/benefits and indirect impacts, with longer time horizons and lower discount rates

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    SEC Fall 2023 Regulatory Agenda

    Notable planned final and proposed rulemakings continue to be recognized in the Agenda stages of rulemaking

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

    Potential areas for company risk focus

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    FRB Reports: Supervision and Regulation; Financial Stability

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

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    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”

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    Financial Stability, Nonbank Supervision: FSOC Final Guidance

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

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

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

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    Executive Order on Safe, Secure, and Trustworthy AI

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

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    Debit Interchange Fee Cap: FRB Reg II Proposed Amendments

    Proposal to amend the interchange fee cap and methodology

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    Final Principles for Climate-Related Financial Risk Management

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

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    Community Reinvestment Act: Interagency Final Rule

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

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    ”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

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    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

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    Reporting of Securities Loans: SEC Final Rule

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

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    Volume-based Transaction Pricing: SEC Proposed Rule

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

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    Examinations: SEC 2024 Priorities

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

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    “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

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    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

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    Expanded Risk Governance and Management: FDIC Proposed Guidelines

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

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    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

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

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

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    Names Rule: SEC Final Amendments

    Preventing Misleading or Deceptive Fund Names

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    Risk Alert: SEC Investment Adviser Supervision

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

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    Long-Term Debt Requirements: Interagency Proposed Rule

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

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    SEC Private Fund Adviser Reforms: Final Rules

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

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    AML Enforcement: SEC Risk Alert & FFIEC Exam Manual Updates

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

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    “Covered Technologies” and Conflicts of Interest: SEC Proposal

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

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

    Strengthening resolution planning, strategy, and reporting

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

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

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

    SEC Final Rule

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    SEC Money Market Fund Reforms & Customer Protection Rule Proposal

    SEC efforts to improve fund resiliency and stability

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    2023 Regulatory Agendas: Federal Banking Regulators

    Key list of upcoming rulemaking

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    SEC 2023 Regulatory Agenda

    Continuing a brisk pace and breadth of activity

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    Interagency Proposals: Automated Valuation Models; Reconsideration of Value

    Implementing new automated valuation model quality control standards

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    SEC Examinations Risk Alert: Marketing Rule

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

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

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

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    Bank Supervision: OCC “Persistent Weaknesses”

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

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    Biometric Information: Federal Trade Commission UDAP

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

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    Supervisory Focus: FRB Highlights

    FRB Reports: Supervision and Regulation, Financial Stability

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    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

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    Form PF and Share Repurchase Disclosures: Final Rules

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

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    FDIC Deposit Insurance Reform Options

    Potential alternatives to the current deposit insurance system

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    Bank Supervision and Regulatory Change

    Federal push for changes to financial services supervision and regulation

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    Enforcement/Supervision to “Automated Systems”

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

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    Financial Stability, Nonbank Supervision: FSOC Proposals

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

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    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”

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    Ensuring Trust in AI: Commerce Department Request for Comment

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

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    Bank Regulatory Change

    Administration encourages federal banking agencies to make regulatory and supervisory changes

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    CFPB Small Business Lending Data (Section 1071)

    Final rule governing data collection and reporting

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    FTC Recent Focus on Tech: Digital Advertising, Cloud

    Increasing scrutiny of technology adoption and use

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    SEC Proposal to Expand Regulation SCI

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

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    SEC Proposals on Cyber Risk Management for Market Entities

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

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    SEC Proposes Amendments to Regulation S-P

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

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    DOJ Initiatives on Compensation, Voluntary Self-Disclosure

    Continuing focus on accountability and cooperation

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    White House Announces National Cybersecurity Strategy

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

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    Fraud, Identity Theft, and Other Scams

    Approximately 5.15 million reports received from consumers in 2022

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    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

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    NAIC 2023 Strategic Priorities for State Insurance Regulators

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

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    SEC Proposes Amendments to the Custody Rule

    Expands authority to all assets, including crypto

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    SEC final rule for T+1 settlement cycle

    Shortening the securities transaction settlement cycle

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    Focus on Tech: Cloud, AI, Personal Data

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

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    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

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    Consumer Fees: CFPB Proposal on Credit Card Late Fees

    Continued focus on consumer fees and “fairness”

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    SEC Examinations Risk Alert: Regulation Best Interest

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

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    DOJ Revises Criminal Division Corporate Enforcement Policy

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

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

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

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    Examination and Risk Monitoring: FINRA 2023 Report

    Outline of key risk areas and new topics

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    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”

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    CFPB Regulatory Agenda

    Continuing focus on fees

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    SEC Regulatory Agenda

    Continuing its ambitious pace and breadth of activity

    SEC Regulatory Agenda
      2022
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      Focus on Non-Bank Financial Firms, P2P Platforms, and Crypto Exchanges

      Banks and non-banks should anticipate heightened regulatory attention

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      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

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      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

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      Third party risk management: SEC Investment Adviser Proposal

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

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

      Recent regulatory releases reinforce the increasing focus on fees

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      CFPB Proposals for Section 1033, Personal Financial Data Rights

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

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      Data Retention and Deletion: Increasing Regulatory Expectations

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

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      Climate Risk: Insurance data collection; FSB progress reports

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

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      Large Bank Resolution: FRB, FDIC Joint ANPR

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        Amy S. Matsuo
        Principal, U.S. Regulatory Insights & Compliance Transformation Lead, KPMG LLP

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