Patomak Analysis

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

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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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Expertise Area: Strategy & Advisory
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Patomak Analysis

OCC Proposes New Guidelines for Bank Mergers  

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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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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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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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Blog

CFPB Regulatory Agenda Points to Activity to Come in 2024

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Expertise Area: Strategy & Advisory
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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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Patomak Analysis

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

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Expertise Area:
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Patomak Analysis

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

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Expertise Area: Risk Management & Compliance
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Research Article

Understanding CFPB Funding and Expenditures, FY 2010 – 2022

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Expertise Area: Litigation Support & Enforcement
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Patomak Analysis

AML Compliance Continues to be an SEC Priority

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Expertise Area:
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Patomak Analysis

SEC Adopts New Cybersecurity Disclosure Requirements for Public Companies

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Expertise Area: Risk Management & Compliance
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Patomak Analysis

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

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Expertise Area: Strategy & Advisory
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Blog

FINRA Seeks Comment on its Proposed Liquidity Risk Management Rule

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

First Look of the Basel III Endgame Rule Proposal

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Expertise Area: Risk Management & Compliance
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Blog

Federal Reserve’s Instant Payment Service Has Arrived

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Expertise Area: Strategy & Advisory
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Blog

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

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Expertise Area: Risk Management & Compliance, Strategy & Advisory
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Blog

OCC Releases Guidance on Cybersecurity Supervision

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Expertise Area: Risk Management & Compliance
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News Release

John Vivian joins Patomak Global Partners

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Expertise Area: Strategy & Advisory
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Blog

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

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Expertise Area: Risk Management & Compliance
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Blog

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

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Expertise Area: Risk Management & Compliance, Strategy & Advisory
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Blog

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

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Expertise Area: Risk Management & Compliance, Strategy & Advisory
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