News & Analysis as of

Supervision Risk Assessment

Hudson Cook, LLP

CFPB Proposes Legal Standard for Nonbank Supervision Proceedings

Hudson Cook, LLP on

On August 26, 2025, the Consumer Financial Protection Bureau published a proposed rule in the Federal Register that would define "risks to consumers" and bind the Bureau in proceedings to designate nonbanks for Bureau...more

Goodwin

FINRA Proposes Remote Inspection Pilot Program

Goodwin on

​​​​​​​FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections.  In a nod to where...more

King & Spalding

FSOC and the Systemic Risk of Nonbank Companies

King & Spalding on

In a response to the difficulties it experienced in identifying nonbank systemically important entities, the Financial Stability Oversight Council (FSOC) has proposed a new procedure for detecting and dealing with potential...more

Orrick - Finance 20/20

The Office of the Comptroller Provides Updated Guidance for Risk Assessment System

Orrick - Finance 20/20 on

On December 3, 2015, the Office of the Comptroller of the Currency (“OCC”) provided updated guidance for its risk assessment system (“RAS”). The guidance (i) clarifies the relationship between RAS and the Uniform Financial...more

Ballard Spahr LLP

OCC Report Identifies Risks to Banks, Sets Supervisory Priorities

Ballard Spahr LLP on

A new report issued by the federal Office of the Comptroller of the Currency (OCC) identifies top safety and soundness risks to national banks and federal savings associations, as well as OCC supervisory priorities for the...more

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