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.

Related content

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 | 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

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