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Latest Compliance News

The FSB has released its latest batch of SAM documents.

SOLO CPR reporting returns
CPR Group reporting
Annual qualitative templates
CIC Table and definitions
discussion document
Independent Audit report template

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The big US bank regulator is faulting itself for failing to address the problems at Wells Fargo before it was too late.

The inspector general at the Office of the Comptroller of the Currency said the regulator's examiners saw sales problems at Wells Fargo as early as 2010.

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The Financial Intelligence Centre (FIC) has issued Public Compliance Communication 38 (PCC38) which provides clarity to accountable institutions, reporting institutions and any other reporting entities (affected institutions) on how they are expected to receive as well as respond to requests for information, interventions and monitoring orders, communicated by the FIC in terms of sections 27, 32, 34 and 35 of the FIC Act. .

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Revised draft requirements for the centralised reporting of over-the-counter (OTC) derivatives transactions to trade repositories have been released for comment in anticipation of their implementation later this year.

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