Regulatory Practice Letters 

To learn more about important developments in the financial services industry, please take this opportunity to review KPMG's Regulatory Practice Letters.  These are issued by KPMG's Financial Services Regulatory Practice to highlight and detail current issues.
Regulatory Practice Letter #12-09
Designation of Non-Bank Financial Companies as Systemically Important – Final Rule
Regulatory Practice Letter #12-08
CFTC Compliance Obligations for CPOs and CTAs – Final Rule
Regulatory Practice Letter #12-07
CFPB Nonbank Supervision - Definition of Larger Participants for Debt Collection and Reporting - Proposed Rule
Regulatory Practice Letter #12-06
Mortgage Loan Servicing and Foreclosure Settlement Agreement; Servicing Standards Imposed
Regulatory Practice Letter #12-05
Cordray Appointed CFPB Director; Nonbank Supervision Begins
Regulatory Practice Letter #12-04
Enhanced Prudential Standards and Early Remediation Requirements – Fed Proposed Rule
Regulatory Practice Letter #12-03
Capital Plan Requirement for Large Bank Holding Companies – Fed Final Rule
Regulatory Practice Letter #12-02
Private Fund Reporting (Form PF) SEC and CFTC – Final Rule
Regulatory Practice Letter #12-01
CFPB Issues Proposed Policy Statement Governing Disclosure of Credit Card Complaint Data
Regulatory Practice Letter #11-25
CFPB Issues First Supervision and Examination Manual – Mortgage Servicing Guidelines Included
Regulatory Practice Letter #11-24
Prohibitions and Restrictions on Proprietary Trading and Relationships with Hedge Funds and Private Equity Funds (Volcker Rule) - Proposed Rule
Regulatory Practice Letter #11-23
Fed Report on Incentive Compensation Arrangements – Horizontal Review Results
Regulatory Practice Letter #11-22
Resolution Plans for Large BHCs, Systemically Important Firms and Insured Institutions – FDIC/Fed Joint Final Rule, FDIC Interim Final Rule
Regulatory Practice Letter #11-21
Interim Final Rule Governing Savings and Loan Holding Companies Becomes Effective
Regulatory Practice Letter #11-20
New Treasury International Capital Form SLT Reporting Requirements
Regulatory Practice Letter #11-19
Fed Proposes Two Year Transition to BHC Regulatory Reporting by Savings and Loan Holding Companies
Regulatory Practice Letter #11-18
Fed Supevision of SLHCs – First Inspection Cycle Guidance
Regulatory Practice Letter #11-17
Designating Systemically Important Financial Market Utilities-Final Rule Risk Management Supervision of Designated Clearing Entities-Report
Regulatory Practice Letter #11-16
Federal Reserve Board Regulation II: Debit Card Interchange Fee and Routing – Final Rule
Regulatory Practice Letter #11-15
Family Office Exclusion from Investment Adviser Registration – SEC Final Rule
Regulatory Practice Letter #11-14
Final Rules Implementing Registration and Other Requirements of Private Fund Advisers and Others
Regulatory Practice Letter #11-13
FDIC’s Systemic Resolution Advisory Committee Convenes Inaugural Meeting
Regulatory Practice Letter #11-12
Capital Plan Requirement for Large Bank Holding Companies – Fed Proposed Rule
Regulatory Practice Letter #11-11
Stress Testing Practices – Proposed Supervisory Guidance
Regulatory Practice Letter #11-10
Proposal to Govern Transfer of Functions from OTS to OCC and National Bank Preemption; Fed Proposal for Supervision of Thrift Holding Companies
Regulatory Practice Letter #11-09
“Ability-to-Repay” and “Qualified Mortgage” Standards Proposed under Regulation Z
Regulatory Practice Letter #10-22
Asset-Backed Securities Disclosures: Proposed Rules for Repurchase Requests and Asset Reviews Required by Dodd-Frank Act
Regulatory Practice Letter #10-18
Agreed Upon Changes to the International Capital Standards
Regulatory Practice Letter #10-17
Amendments to Mortgage Loan Provisions under Regulation Z
Regulatory Practice Letter #10-16
Mutual Fund Distribution Fees: Proposed Changes to Regulatory Framework
Regulatory Practice Letter #10-14
Implications for financial services institutions under the Dodd-Frank Act
Regulatory Practice Letter #10-13
On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) was signed into law by U.S. President Barack Obama.
Regulatory Practice Letter #10-12
Financial Regulatory Reform Legislation – Bureau of Consumer Financial Protection (Title X); Mortgage Reforms (Title XIV)
Regulatory Practice Letter #10-11
Final passage of the Dodd-Frank Act is the culmination of a protracted effort on the part of the Obama administration and Congress to implement a broad financial regulatory reform package in the wake of the financial crisis.
Regulatory Practice Letter #10-10
In This Regulatory Practice Letter: Financial Regulatory Reform Legislation - Dodd-Frank Act (H.R. 4173) Comprehensive reform of the supervision and regulation of the financial services industry.
Regulatory Practice Letter #10-09
Financial Regulatory Reform Legislation Passes U.S. Senate (S. 3217)
Regulatory Practice Letter #10-08
Financial Regulatory Reform Legislation Released by Senator Dodd, March 2010
Regulatory Practice Letter #10-05
Risk Management Controls for Broker-Dealers with Market Access – Proposed Rules
Regulatory Practice Letter #10-04
Fair Lending Developments, including Servicing and Loss Mitigation
Regulatory Practice Letter #10-03
Final Rules to Effect Risk-Based Pricing Notices to Consumers
Regulatory Practice Letter #10-02
Financial Responsibility Rules for FINRA Member Firms