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Compliance/Regulatory - Banking Exchange
The Securities and Exchange Commission’s MIDA project will look more closely at trades and related matters more closely and completely than ever. Is your organization going to be prepared?

Getting ready for tougher SEC scrutiny

Agency girds for more technical oversight and investigation, so financial institutions must anticipate heavier data demands
Two recent cases with especially egregious alleged facts show where the federal government can go under current law.

Prosecutors getting tougher on bankers

Legal analysis: Cases take page from S&L crisis
Many banking issues have layers on layers of laws, regulations, and guidance on top of them. Common Sense Compliance blogger Lucy Griffin tells you how deep to dig.

Digging into regulation: guidance or law?

And does it matter?
Compliance Tsunami survival

Compliance Tsunami survival

CEOs, boards, compliance officers must change attitudes and roles
Focus needed for tech, governance, enterprise systems

Focus needed for tech, governance, enterprise systems

Heightened regulatory scrutiny and greater concerns over risk governance have led financial institutions to elevate focus and attention on risk management, a new Deloitte Touche Tohmatsu Limited (DTTL) global survey…
Ups and Downs: Avoid fair-lending traps in Bureau’s mortgage rules

Ups and Downs: Avoid fair-lending traps in Bureau’s mortgage rules

Unintended consequences lurk behind today's design decisions
Megabanks see a two-way street of tougher talk

Megabanks see a two-way street of tougher talk

New regs promote "credible challenge" and multi-level accountability
Deposit pricing’s safety and soundness implications

Deposit pricing’s safety and soundness implications

Part 2 of a series: Behavioral economics can help price more rationally and smarter
New risk management blogger Dan Borge says bankers can't surrender risk management to regulators by letting them impose a standardized solution. Bank managers must devise a risk management approach that fits their institution's unique circumstances.

Don't outsource risk management to regulators

Solvency may be enough to please them, but it won't please shareholders

SOX Compliance: Businesses see more internal scrutiny needed, and automated controls

Survey documents ongoing burden
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