Commentary by Michael Ruder
The OCC issued draft Principles for Climate-Related Financial Risk Management for Large Banks.
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21975 News Results
Commentary by Michael Ruder
FINRA filed for immediate effectiveness a proposed update to the trade reporting fees for broker-dealers that use the FINRA/NYSE Trade Reporting Facility.
In its 2021 Annual Report, the Financial Stability Oversight Council assessed the state of the financial system and provided recommendations concerning climate-related financial risk, digital asset risk, the orderly transition away from LIBOR, and cybersecurity.
FinCEN and the OCC penalized a Texas-based bank for willful violations of the Bank Secrecy Act and its implementing regulations.
FINRA adopted amendments to a rule on reporting and fee requirements for the delivery by broker-dealers of proxy and other issuer-related materials.