Patomak Analysis

CFPB and OCC Increase Focus on “Buy Now, Pay Later” (BNPL) Lending

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By: , and
Expertise Area: Risk Management & Compliance, Strategy & Advisory
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Patomak Analysis

NFA Highlights Common Compliance Deficiencies for Swap Dealer Members

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By: , , and
Expertise Area: Risk Management & Compliance
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Patomak Analysis

SEC Adopts Exchange Act Rules 3a5-4 and 3a44-2 – Dealer Registration Requirements

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By: and
Expertise Area: Risk Management & Compliance
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Patomak Analysis

CFTC Seeks Comments on AI Usage and Risks in Derivatives Markets

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By: and
Expertise Area: Strategy & Advisory
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Patomak Analysis

OCC Proposes New Guidelines for Bank Mergers  

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By: , , and
Expertise Area: Litigation Support & Enforcement, Strategy & Advisory
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Patomak Analysis

SEC Security-Based Swap Dealer Exam Observations Focus on Trade Reporting and Other Areas

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By: and
Expertise Area: Risk Management & Compliance
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Patomak Analysis

OCC Releases Fall Semiannual Risk Perspective

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Expertise Area: Risk Management & Compliance, Strategy & Advisory
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Patomak Analysis

CFTC Proposes Amendments to Reporting Requirements Including a 37% Increase in the Number of Reportable Fields

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By: , , , and
Expertise Area:
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Patomak Analysis

Important Clarifications for Online Platform Operators that Offer Deposit Accounts along with Other Financial Products

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Expertise Area: Risk Management & Compliance
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Patomak Analysis

Digital Assets, Market Integrity, and Market Transparency Highlight the CFTC’s Enforcement Focus from FY2023

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Expertise Area: Risk Management & Compliance
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