Category Archives: Regulators

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The Office of the Comptroller of Currency (OCC) issues Semi – Annual Risk Perspective Spring 2024

The OCC published their Spring 2024 SEMIANNUAL RISKPERSPECTIVE on June 18th 2024 The OCC publishes the report twice a year, drawing on midyear and year-end data. Details here are quoted from the OCC publications https://www.occ.treas.gov/publications-and-resources/publications/semiannual-risk-perspective/files/pub-semiannual-risk-perspective-spring-2024.pdf Credit risk is increasing. Commercial real estate sectors, primarily the office sector and some multifamily property types, are experiencing stress […]...

Published On - June 25, 2024

Lameerinc Anti Money Laundering, Banking Risk Management, Business Services, Climate Risk, Compliance Management, Enterprise GRC, IT Risk Management, News, Regulations, Regulators, Vendor Risk Management
Reg BIRegulators

2024 FINRA Annual Regulatory Oversight Report – Reg BI and Form CRS

Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs (collectively, “regulatory operations programs”). The Report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. (All information […]...

Published On - January 12, 2024

Lameerinc Reg BI, Regulators
RegulatorsTrade Surveillance

2024 FINRA Annual Regulatory Oversight Report – Manipulative Trading

Announced on Jan 10th 2024. The 2024 FINRA Annual Regulatory Oversight Report (the Report) provides member firms with insight into findings from FINRA’s Member Supervision,Market Regulation and Enforcement programs (collectively, “regulatory operations programs”). The Report reflects FINRA’s commitment to providing greater transparency to member firms and the public about our regulatory activities. (All information here […]...

Published On - January 12, 2024

Lameerinc Regulators, Trade Surveillance