Increasingly advanced watchdogs have "upped the ante" for trading firms, compliance chiefs say.
Differing sides of the financial technology regulation debate each make sense, which is why choosing a side is difficult.
Examiners' skills and policy crafting may need to change to meet demands of emerging technologies.
LabCFTC will help guide firms through CFTC rules and open the agency to updating its regulations to meet changing market conditions.
Emilia David profiles US Bank's chief operational risk officer Jodi Richard and looks at how the bank tackles op risk and the extent to which its risk disciplines are integrated into the business.
The Conference of State Bank Supervisors claim the OCC has gone beyond its legal authority to determine what defines a bank.
The new administration has made comments about regulation's future that could put some policies on thin ice.
But for the moment, fintechs in the capital markets space will not be covered.
Director says no third-party risk management tool provides an end-to-end solution.
Regulators in the US have had to significantly increase not only their IT hardware and software, but their staffing as well, to meet Dodd-Frank-related demands.
The passage of the Dodd–Frank Act in the US, while necessary, has not just stressed many Wall Street firms’ IT budgets—it has also required a substantial investment on the parts of the US regulators. Anthony Malakian charts the progress that has been…