Essentials for adapting to the Dodd-Frank Act
While regulatory requirements remain uncertain, financial services institutions can put in place appropriate processes that can help them prepare for what’s to come. Tap into our thought leadership to consider which enterprise changes will be most effective.
|In January 2011, the SEC approved new FINRA Rule 2090 (Know-Your-Customer or KYC) and FINRA Rule 2111 (Suitability). How will these revamped rules impact your organization’s compliance and supervisory programs? Inside, we reveal which 10 things a compliance officer should consider in preparing for the new regulations.|
| The Dodd-Frank Act and OTC derivatives regulation |
When Congress passed the Dodd-Frank Act, financial firms and their chief compliance officers (CCOs) focused on understanding the law’s provisions. Now that regulators are adopting rules at a steady pace, CCOs are shifting their priorities to ensure their business units comply with forthcoming rules. Find out which issues deserve immediate CCO attention.
| Are you ready for the next six months of Dodd Frank? |
The Dodd Frank Wall Street Reform and Consumer Protection Act reached its half-year milestone on 21 January. While regulatory requirements remain uncertain, financial services institutions should execute enterprise-wide changes that address the priority aspects of the Act coming up during the next six months. Find out how to get started
| Dodd-Frank Act whistleblower reward provisions |
If today’s economic environment and increased regulatory scrutiny weren’t enough to raise company fears about the risks of financial fraud, Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act certainly has. How can companies proactively show their employees the importance of internal reporting? Find out here.
| Dodd-Frank Act's impact on hedge funds and private equity |
With the recent passage of financial reform legislation, regulations governing hedge fund and private equity fund managers and other investment advisors are set to change dramatically. We highlight these changes and explain the key areas of impact for your business.
| Assess Dodd-Frank's impact on internal audit now |
Given the staggered dates for rules to become effective, internal audit needs a comprehensive understanding of timelines to prioritize. We can help you plan and execute.