Patomak Analysis

NFA Highlights Common Compliance Deficiencies for Swap Dealer Members

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

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

Published:
By: and
Expertise Area: Risk Management & Compliance
Read More
Patomak Analysis

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

Published:
By: and
Expertise Area: Risk Management & Compliance
Read More
Patomak Analysis

OCC Releases Fall Semiannual Risk Perspective

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

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

Published:
By:
Expertise Area: Risk Management & Compliance
Read More
Patomak Analysis

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

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

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

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

SEC Adopts New Cybersecurity Disclosure Requirements for Public Companies

Published:
By: , , , and
Expertise Area: Risk Management & Compliance
Read More
Blog

FINRA Seeks Comment on its Proposed Liquidity Risk Management Rule

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

First Look of the Basel III Endgame Rule Proposal

Published:
By: , and
Expertise Area: Risk Management & Compliance
Read More