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Compliance/Regulatory - Banking Exchange
S&P Global Market Intelligence, formerly S&P Capital IQ and SNL, is the premier provider of breaking news, financial data, and expert analysis on business sectors critical to the global economy. This article originally appeared on the SNL subscriber side of S&P Global's website.

Enforcement gavel not disappearing

Consumer bureau dropping lawsuits but states are filling the gap, lawyers say
The best of partnerships must be monitored to be sure that everything works as planned. The bank and its fintech partner shouldn't be blindsided by ticklish issues.

Making innovation partnerships work

4 steps to keeping a partnership on track
Randal Quarles of the Fed, right, interviewed by The Clearing House's Greg Baer, allows that "governance at the Fed is extremely obscure, even from the inside." (You can view CNBC's video of the entire interview on its Facebook page.)

Fresh air at Federal Reserve?

New regulatory vice-chair Quarles discusses fintech, cyberrisk, “tailoring,” and capital
Look carefully before you partner with a fintech, or your bank risks partnering with trouble.

Taking a risk-based approach to innovation partners

Banks must make sure a good idea won’t lead to trouble
Fintechs and traditional banks frequently have a different concept of where the future of a startup organization lies, said Acting Comptroller of the Currency Keith Noreika.

Regulation meets innovation

Acting Comptroller Noreika talks fintech at Finovate Fall
Fed’s Powell defends board proposal

Fed’s Powell defends board proposal

Will not lower the bar or lighten loads, says governor
A clean and honest sales program requires asking lots and lots of questions, assuming nothing. Common sense must also rule. "If less than half your employees can achieve their sales goals, that's a problem," says one expert. "You have to have realistic goals."

Keeping sales culture clean

Ask key questions now—or face worse questions from regulators and public later
Chief Innovation Officer Beth Knickerbocker and innovation office staff field many questions about innovation and can help banks and fintech players find answers among OCC subject matter experts.

OCC innovation office builds fintech dialog

Fledgling effort serves as clearinghouse and more in the “fintech ecosystem”
Communication between banks and their supervisors ranks higher than ever, says a former Citi regulatory expert.

No time for regulatory silence

Regulatory relations are make-or-break today
Banks can learn a lot from complaints, but at the end of the day you also want unhappy customers to become satisfied customers.

Complaints management requires tough management

Customer experience hinges on getting problems fixed promptly—and right
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