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 #13-18
The Securities and Exchange Commission (SEC) has issued its long awaited revisions to the Financial Responsibility Rules for Broker-Dealers under the Securities Exchange Act of 1934 (SEA).
Regulatory Practice Letter #13-16
The CFPB has released a final rule that establishes procedures by which the Bureau would subject a nonbank provider of consumer financial products and services to CFPB supervision
Regulatory Practice Letter #13-15
The Bureau of Consumer Financial Protection (CFPB or Bureau) has undertaken a variety of initiatives to enhance consumer protections in the debt collection industry.
Regulatory Practice Letter #13-14
The Financial Stability Board (FSB), in consultation with the International Association of Insurance Supervisors (IAIS) and national authorities, has announced the initial list of global systemically important insurers (G-SIIs).
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 #11-22
Resolution Plans for Large BHCs, Systemically Important Firms and Insured Institutions – FDIC/Fed Joint Final Rule, FDIC Interim Final Rule
Regulatory Practice Letter #11-17
Designating Systemically Important Financial Market Utilities-Final Rule
Risk Management Supervision of Designated Clearing Entities-Report
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