Regulatory events coming this spring

Consumer Financial Protection Bureau

• CFPB Symposium: Consumer Access to Financial Records: Feb. 26, 9:30 a.m., Washington, D.C.: Video link available. Featuring remarks from Bureau Director Kathleen Kraninger, this Symposium will focus on consumer-authorized data access and Section 1033 of the Dodd-Frank Act. The Bureau faces several important policy decisions in the coming years and the symposia series aims to stimulate a robust and proactive dialogue to assist the Bureau in its policy development process. Through the symposia series, the Bureau convenes experts from a variety of fields and backgrounds to consider legal and policy issues.
• Evolutions in Consumer Debt Relief: March 10, 8:30 a.m., Washington, D.C.: The Consumer Financial Protection Bureau will host a day-long convening, ‘Evolutions in Consumer Debt Relief.’ The event will explore options for consumers facing unmanageable unsecured debt and limited credit options.

Federal Deposit Insurance Corporation

• 2020 National Interagency Community Reinvestment Conference: March 9 - 12, Denver, Col.: How can we work together to foster equitable community investments? The 2020 National Interagency Community Reinvestment Conference is your chance to connect with leaders and peers from across the country and find out what works.

Federal Reserve Board

• International Research Forum on Monetary Policy—Call for Papers: March 26 & 27, Frankfurt. The 11th conference organized by the International Research Forum on Monetary Policy (IRFMP) will be held at the European Central Bank. The purpose of the IRFMP is to promote the discussion of innovative research on theoretical and empirical macroeconomic issues with relevance for monetary policy.

Financial Accounting Standards Board

• GAAP and SEC Reporting Taxonomony Improvements and SEC Update – Webcast: April 2, 1:00 - 2:30 p.m. The Financial Accounting Standards Board (FASB) is pleased to announce an upcoming Webcast that will discuss improvements to the 2020 GAAP Financial Reporting Taxonomy for recently issued FASB Accounting Standards Updates (ASUs) and to the 2020 SEC Reporting Taxonomy based on feedback and internal analysis (collectively referred to as the 2020 Taxonomy Releases). In addition, the U.S. Securities and Exchange Commission (SEC) staff will provide an update.

Financial Industry Regulatory Authority

• 2020 Annual Conference: May 12 - 14, Washington, D.C. FINRA’s premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

Justice Department

• Draft Vertical Merger Guidelines: March 11 & 18, Washington, D.C. The Department of Justice and Federal Trade Commission will hold two public workshops to solicit public dialogue on the draft vertical merger guidelines released on Jan. 10, 2020. The two half-day workshops will allow for a dynamic discussion about the proposed guidelines to complement any written public comments about the draft guidelines that are submitted to the agencies. The agencies will select panelists for the workshops from those that file public comments and indicate their interest and availability to participate. The draft guidelines describe how the federal antitrust agencies review vertical mergers to evaluate whether they violate antitrust law. Vertical mergers combine two or more companies that operate at different levels of the supply chain. The draft guidelines outline the agencies’ principal analytical techniques, practices, and enforcement policy for vertical mergers. The agencies will consider both public comments and workshop discussions before issuing final Vertical Merger Guidelines.
• Justice Department Training Course Offerings: FY 2020 Training Calendar

Office of the Comptroller of the Currency

• Risk Governance: Improving Director Effectiveness: March 17, Washington, D.C. This one-day workshop combines lectures, discussions, and exercises designed specifically for directors of national community banks and federal savings associations to: enhance understanding of the OCC’s approach to risk-based supervision; increase familiarity with major risks in the financial industry; recognize common ways to identify, measure, monitor, and control risk; learn the risk-related questions to ask managers, auditors, and regulators; and enhance understanding of strategic planning and responsible innovation.
• Compliance Risk: What Directors Need to Know: March 18, Washington, D.C. This one-day workshop combines lectures, discussions, and exercises designed specifically for outside directors of national community banks and federal savings associations to: Understand the critical elements of an effective compliance risk management program; review major compliance risks and critical regulations, such as BSA and the Equal Credit Opportunity Act; identify compliance red flags and hot topics; and learn about common OCC examination findings related to compliance risk.

Securities and Exchange Commission

• National Compliance Outreach Seminar for Investment Companies and Investment Advisers: April 21, Washington, D.C. The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms enhance their compliance programs for the protection of investors. The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management (IM), and the Asset Management Unit (AMU) of the Division of Enforcement jointly sponsor the compliance outreach program.