The Basel Committee on Banking Supervision highlighted the importance of early supervisory intervention to ensure the safety of individual banks and the banking system.

Several recent rulings illustrate the risks that persist in some states for marketplace lenders utilizing the bank origination model.

NY Fed President and CEO William Dudley encouraged financial institutions to ensure that incentives are aligned with responsible behavior, and that controls are in place for the early detection of misconduct.

A Federal Court granted an SEC Motion for Summary Judgment against a trader charged with filing false information in order to manipulate the prices of certain issuer securities.