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

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

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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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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Patomak Analysis

SEC Adopts New Cybersecurity Disclosure Requirements for Public Companies

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Expertise Area: Risk Management & Compliance
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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

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

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