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The Filing Cabinet
"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.
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The Filing Cabinet Blog
Report assesses key risks, compliance challenges for banks
Joe Mont | December 4, 2018
The OCC has released its “Semiannual Risk Perspective,” a look at the operational, compliance, and interest rate risks likely to present themselves as top banking concerns. The report also offers risk mitigation strategies.
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The Filing Cabinet Blog
State bank regulators sue OCC over FinTech charters
Joe Mont | October 29, 2018
The Conference of State Bank Supervisors is suing to prevent the OCC from granting special national bank charters to non-banks, specifically FinTech firms.
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The Filing Cabinet Blog
States were too quick on the draw suing OCC over FinTech charters
Joe Mont | May 2, 2018
State banking regulators this week suffered a setback with their lawsuit against the OCC over plans to offer bank charters to FinTech companies. Because the OCC’s plan has yet to be implemented, they currently lack standing, a judge says.
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The Filing Cabinet Blog
OCC sets stage for FinTech firms to charter as national banks
Joe Mont | December 5, 2016
The Office of the Comptroller of the Currency will consider applications from financial technology (FinTech) companies to become special purpose national banks. Charters would come with heightened risk management and liquidity requirements.
Displaying 4 results