In testimony before the House Financial Services Committee, Comptroller of the Currency Joseph Otting identified the top priorities of the Office and detailed operational and compliance risks faced by the banking industry.

The CFTC requested public comment on a proposal to amend the swap dealer de minimis exception.

The U.S. Treasury Department Financial Crimes Enforcement Network issued an advisory describing how corrupt foreign "politically exposed persons" access the U.S. financial system.

A broker-dealer agreed to pay approximately $15 million to settle SEC charges of failing to supervise residential mortgage-backed securities traders and salespersons.

If you are thinking of settling a fine with a regulator, it's useful to know how much others have paid for comparable violations. This research tool is one of the many features that Cabinet Premium offers. Interested? Click on Tip #1 to find out more.