The OCC, the Federal Reserve Board and the FDIC proposed long-term debt requirements for large banking entities, holding companies, foreign banking organizations and large insured depository institutions to facilitate resolvability in the event of failure and to reduce the risk of contagion within the financial system.
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A fund administrator settled charges with the SEC for failing to identify "red flags" of fraudulent behavior on the part of one of its hedge fund clients.
Banking agencies set a comment deadline of September 19, 2023 for proposed risk management guidance concerning "reconsiderations of value" in real estate transactions.
An investment adviser settled SEC charges for imposing excess management fees and failing to disclose conflicts of interest.
The banking agencies set a comment deadline of August 21, 2023 for a proposed to require mortgage originators and secondary market issuers to ensure that "automated valuation models used in certain credit decisions or covered securitization determinations adhere to quality control standards."