Page 2 – Patomak Global Partners

Securities

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

Published: January 24, 2024

By: Anne Montminy and Carly Ritterband

Banking & Consumer Finance

OCC Releases Fall Semiannual Risk Perspective

Published: January 24, 2024

By: John Vivian, Joshua Kuntz and Anika Horowitz

Derivatives

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

Published: January 24, 2024

By: Jill Sommers, Mark Wetjen, Sudhir Jain, Anne Montminy and Tim Brown

Banking & Consumer Finance

Updates to FDIC Disclosure Rules

Published: January 23, 2024

By: Mark Wetjen

Banking & Consumer Finance

CFPB Regulatory Agenda Points to Activity to Come in 2024

Published: December 20, 2023

By: Brian Johnson

Derivatives | Digital Assets

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

Published: November 13, 2023

By: Sudhir Jain, Tim Brown and Cole Reynolds

Banking & Consumer Finance

U.S. District Court Rules CFPB’s UDAAP Exam Manual Updates Exceed the CFPB’s Authority

Published: October 5, 2023

By: Brian Johnson and Stephanie Moore

Banking & Consumer Finance

The Regulatory Pile-on for Regional Banks Deepens: Federal Banking Regulators Propose New Long-Term Debt Rule

Published: September 21, 2023

By: John Vivian, Laura Magyar and Carly Ritterband

Banking & Consumer Finance

Understanding CFPB Funding and Expenditures, FY 2010 – 2022

Published: September 7, 2023

By: Brian Johnson

AML, Sanctions & CFIUS | Securities

AML Compliance Continues to be an SEC Priority

Published: August 31, 2023

By: Laura Magyar, John Vivian, Wilson Friestad and Drew Godsell

Securities

SEC Adopts New Cybersecurity Disclosure Requirements for Public Companies

Published: August 28, 2023

By: Laura Magyar, Kathy Casey, Bob Phelps, Hemal Patwa and Stephanie Moore

AML, Sanctions & CFIUS

President Biden’s Outbound Investment Executive Order: New Investment Prohibition and Notification Requirements Remains Far from Certain

Published: August 14, 2023

By: Thomas Feddo and Robert Greene

Banking & Consumer Finance

FINRA Seeks Comment on its Proposed Liquidity Risk Management Rule

Published: August 2, 2023

By: Laura Magyar, John Vivian, Wilson Friestad and Tre Blomeier

Banking & Consumer Finance

First Look of the Basel III Endgame Rule Proposal

Published: July 31, 2023

By: John Vivian, Joshua Kuntz and Stephanie Moore

Banking & Consumer Finance

FedNow: Federal Reserve’s Instant Payment Service Has Arrived

Published: July 25, 2023

By: John Vivian, Drew Godsell and Rohan Mistry

Securities

SEC Set to Finalize Rules on Outsourcing by Registered Investment Advisers and Potentially Move Further Into Internet-Based RIA Ecosystem

Published: July 24, 2023

By: Mark Wetjen and Carly Ritterband

Banking & Consumer Finance

OCC Releases Guidance on Cybersecurity Supervision

Published: July 5, 2023

By: Keith Noreika and John Vivian

News

John Vivian joins Patomak Global Partners

Published: June 19, 2023

By: Patomak Global Partners

Derivatives

Firms Need to Weigh in on CFTC Notice of Proposed Rulemaking for Risk Management Requirements

Published: June 13, 2023

By: Sudhir Jain, Joshua Kuntz and Tim Brown

Banking & Consumer Finance

Federal Banking Regulators Release Final Guidance on Third-Party Risk Management

Published: June 13, 2023

By: Keith Noreika, Brian Johnson and Carly Ritterband

AML, Sanctions & CFIUS

FinCEN Assesses Civil Money Penalty Against First Trust Company for BSA Violations

Published: June 2, 2023

By: Keith Noreika, Suzanne Richards, Cynthia Shea and Stephanie Moore

Securities

SEC Increases Oversight of Registered Investment Advisers

Published: May 17, 2023

By: Laura Magyar and Tim Tian

Securities

SEC Adopts Additional Disclosure Requirements for Private Funds

Published: May 16, 2023

By: Adam Glazer

News

MarketWatch: How $4 trillion in Treasurys parked at banks could become a ticking time bomb if the debt-ceiling fight triggers a U.S. default

Published: May 12, 2023

By: Keith Noreika

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

OCC Releases Fall Semiannual Risk Perspective

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

Updates to FDIC Disclosure Rules

CFPB Regulatory Agenda Points to Activity to Come in 2024

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

U.S. District Court Rules CFPB’s UDAAP Exam Manual Updates Exceed the CFPB’s Authority

The Regulatory Pile-on for Regional Banks Deepens: Federal Banking Regulators Propose New Long-Term Debt Rule

Understanding CFPB Funding and Expenditures, FY 2010 – 2022

AML Compliance Continues to be an SEC Priority

SEC Adopts New Cybersecurity Disclosure Requirements for Public Companies

President Biden’s Outbound Investment Executive Order: New Investment Prohibition and Notification Requirements Remains Far from Certain

FINRA Seeks Comment on its Proposed Liquidity Risk Management Rule

First Look of the Basel III Endgame Rule Proposal

FedNow: Federal Reserve’s Instant Payment Service Has Arrived

SEC Set to Finalize Rules on Outsourcing by Registered Investment Advisers and Potentially Move Further Into Internet-Based RIA Ecosystem

OCC Releases Guidance on Cybersecurity Supervision

John Vivian joins Patomak Global Partners

Firms Need to Weigh in on CFTC Notice of Proposed Rulemaking for Risk Management Requirements

Federal Banking Regulators Release Final Guidance on Third-Party Risk Management

FinCEN Assesses Civil Money Penalty Against First Trust Company for BSA Violations

SEC Increases Oversight of Registered Investment Advisers

SEC Adopts Additional Disclosure Requirements for Private Funds

MarketWatch: How $4 trillion in Treasurys parked at banks could become a ticking time bomb if the debt-ceiling fight triggers a U.S. default

FDIC and OCC Focus on Resolution and Recovery Capabilities Testing

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