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Regulatory Alerts


The Regulatory Alerts are issued by KPMG's Financial Services Regulatory Practice to highlight emerging issues in the financial services industry as well as considerations for response.


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Many of the Alerts are prepared in conjunction with other KPMG Financial Risk Management practices to promote a cohesive approach. For additional information on regulatory issues affecting the financial services industry, please review our Regulatory Practice Letter and Washington Report issuances.


Regulatory Alert | May 2018

Wolfsberg Group Releases New Correspondent Banking Due Diligence Questionnaire (CBDDQ) and related guidance materials


Regulatory Alert | May 2018

Federal banking agencies propose changes to regulatory capital rules affecting large banking organizations


Regulatory Alert | May 2018

Financial Stability Board releases toolkit for mitigating misconduct risk


Regulatory Alert | May 2018

Agencies propose amendments to regulatory capital rules in response to CECL accounting standard


Regulatory Alert | April 2018

Treasury recommends modernization of the Community Reinvestment Act


Regulatory Alert | March 2018

Senate passes regulatory reform bill


Regulatory Alert | February 2018

2018 Examination priorities for SEC and FINRA


Regulatory Alert | February 2018

Regulating virtual currencies


Regulatory Alert | January 2018

Guidance for management


Regulatory Alert | January 2018

Forthcoming regulatory reforms -federal reserve


Regulatory Alert | December 2017

Misconduct risk, culture, and supervision – FRBNY whitepaper


Regulatory Alert | November 2017

Treasury recommends changes to FSOC SIFI designations processes


Regulatory Alert | November 2017

Senate proposal would raise the SIFI threshold for BHCs


Regulatory Alert | November 2017

Treasury Report on Capital Markets


Regulatory Alert | November 2017

Treasury Report on the Asset Management and Insurance Industries


Regulatory Alert | September 2017

Supervision of Large Financial Institutions


Regulatory Alert | August 2017

CFPB has proposed changes to its Prepaid Accounts Rule


Regulatory Alert | August 2017

Global code of conduct for foreign exchange


Regulatory Alert | August 2017

Now is the time to prepare for new customer protection rules covering seniors and other vulnerable adults


Regulatory Alert | August 2017

Guidance for boards: Federal Reserve proposes corporate governance guidance to clarify supervisory expectations for the roles and responsibilities of bank boards in large institutions


Regulatory Alert | July 2017

Consolidated audit trail releases technical specifications for SROs


Regulatory Alert | June 2017

Treasury Department releases first report on proposed changes to financial services regulation


Regulatory Alert | June 2017

The Impact of the Trump Administration on Financial Services: The Opening Stretch

Regulatory Alert | February 2017

The SEC and the FINRA recently released their annual letters outlining regulatory and examination priorities for 2017.

Regulatory Alert | January 2017

Cross-Selling and Complaints Risk Management


Regulatory Alert | December 2016

OCC Seeks Comment on a Possible FinTech Charter


Regulatory Alert | November 2016

The Republican Party retained control of both houses of Congress and gained control of the presidency following the November 8 elections.


Regulatory Alert | October 2016

Retail Sales Practices and Incentive Compensation Under Heightened Scrutiny


Regulatory Alert | October 2016

OCC Takes a Step towards a FinTech Charter


Regulatory Alert | September 2016

Aligning and enhancing regulatory reporting for greater strategic advantage


Regulatory Alert | August 2016

Debt Collection – CFPB Reveals Outline for Future Rulemaking


Regulatory Alert | August 2016

Principle-based reserving update: New York adopts PBR, implementation in 2018


Regulatory Alert | August 2016

Raising Awareness of Diversity and Inclusion: Financial institutions’ voluntary reporting


Regulatory Alert | August 2016

Federal Reserve’s two-track approach to regulatory capital for insurers


Regulatory Alert | July 2016

Insurance principle-based reserving - Emerging industry challenges and opportunities


Regulatory Alert | June 2016

Linking Compensation, Conduct, and Culture: Incentive-Based Compensation Arrangements – Interagency Notice of Proposed Rulemaking


Regulatory Alert | May 2016

Department of the Treasury Whitepaper - Opportunities and Challenges in Online Marketplace Lending


Regulatory Alert | May 2016

Net Stable Funding Ratio: Liquidity Risk Measurement Standards and Disclosure Requirements - Notice of Proposed Rulemaking


Regulatory Alert | May 2016

Financial Stability Oversight Council - Update on Review of Asset
Management Products and Activities


Regulatory Alert | April 2016

U.S. Department of Labor finalizes rules redefining a fiduciary for purposes of retirement investment advice


Regulatory Alert | April 2016

Federal Reserve Reproposes Rules on Single-Counterparty Credit Limits for Large Banking Organizations


Regulatory Alert | April 2016

CFPB Enforcement Action – Data security practices and protection of consumer personal information


Regulatory Alert | March 2016

Debate continues to surround the U.S. Department of Labor’s proposal to redefine a fiduciary for retirement investment advice


Regulatory Alert | January 2016

Examining the U.S. Department of Labor proposal to redefine a fiduciary for retirement investment advice


Regulatory Alert | December 2015

US/EU Covered Agreement Talks Begin; Solvency II Looms January 1, 2016


Regulatory Alert | December 2015

SEC Increases Scrutiny of Outsourced Compliance Activities


Regulatory Alert | November 2015

Federal Reserve Proposes TLAC and LTD Rule for GSIBs and IHCs


Regulatory Alert | June 2015

SEC Intensifies Scrutiny of Private Equity Real Estate Funds


Regulatory Alert #14-04 | August 8, 2014

New SEC Guidance on Custody Rules Offers Mixed News for Private Fund Advisers


Regulatory Alert #14-03 | March 21, 2014

Federal Reserve Board Releases Results of 2014 Dodd-Frank Act Supervisory Stress Tests


Regulatory Alert #14-02 | February 19, 2014

Federal Reserve Board Approves Final Rule Establishing Enhanced Prudential Standards


Regulatory Alert #14-01 | January 17, 2014

Industry Update to Implementation of Final Volcker Rule


Regulatory Alert - September 2013

Servicemember Protections


Regulatory Alert - July 2013

CFPB Mortgage Rules Readiness Guide


Regulatory Alert - June 2013

Ability to Repay and Qualified Mortgages: Industry Updates

Regulatory Alert | November 2017
Regulatory Alert | November 2017
Regulatory Alert | November 2017
Regulatory Alert | April 2018

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