Reports and Testimonies - Browse by topic
Regulatory agencies (11 - 20 of 190 items)
Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
Published: Jul 13, 2011. Publicly Released: Jul 13, 2011.
New Regulatory Challenges Could Emerge as the Industry Grows
Published: Jul 7, 2011. Publicly Released: Jul 7, 2011.
Modified Prompt Corrective Action Framework Would Improve Effectiveness
Published: Jun 23, 2011. Publicly Released: Jun 23, 2011.
Documentation Problems Reveal Need for Ongoing Regulatory Oversight
Published: May 12, 2011. Publicly Released: May 12, 2011.
Consumer Costs for Debt Protection Products Can Be Substantial Relative to Benefits but Are Not a Focus of Regulatory Oversight
Published: Mar 25, 2011. Publicly Released: Mar 25, 2011.
Securities and Exchange Commission:
Action Needed to Improve Rating Agency Registration Program and Performance-Related Disclosures
Published: Sep 22, 2010. Publicly Released: Sep 22, 2010.
Defined Benefit Pension Plans:
Plans Face Valuation and Other Challenges When Investing in Hedge Funds and Private Equity
Published: Jul 20, 2010. Publicly Released: Jul 20, 2010.
Bank Secrecy Act:
FinCEN Needs to Further Develop Its Form Revision Process for Suspicious Activity Reports
Published: Apr 28, 2010. Publicly Released: Apr 28, 2010.
Clearer Goals and Reporting Requirements Could Enhance Efforts by CFTC and SEC to Harmonize Their Regulatory Approaches
Published: Apr 22, 2010. Publicly Released: Apr 22, 2010.
Recent Crisis Reaffirms the Need to Overhaul the U.S. Regulatory System
Published: Sep 29, 2009. Publicly Released: Sep 29, 2009.