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Financial Regulatory Deadlines & News (Jan 09 to Jan 15)

In shutdown, AML, terror agencies scrimp on guidance, regulations, GTO’s, foreign info sharing – ACFCS

Source: Association of Certified Financial Crime Specialists

Expanded Examination Cycle for Certain Small Insured Depository Institutions and U.S. Branches and Agencies of Foreign Banks

OCC FDIC FRS | Mortgage Lending | Final Rule

Golden Parachute and Indemnification Payments

FHFA | Mortgage Lending | Final Rule

Notice of Filing Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule in Conjunction with Relocating the Trading Floor to a New Trading Facility

NYSE | Securities | Agency Update

Disclosure of Order Handling Information

SEC | Broker-Dealer, Securities | Final Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Delete References to the Term "Allied Person" from Exchange Rules

NYSE | Securities | Agency Update

UK PM May’s statement of parliament after Brexit vote defeat
Reuters: Top News 01/15/2019
British Prime Minister Theresa May made the following statement in parliament after lawmakers voted against her proposed exit deal with the European Union by the large majority of 432 to 202…
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EU leaders express dismay after May’s Brexit defeat
Reuters: Top News 01/15/2019
The only positive solution after the British parliament decisively rejected an agreement on withdrawal from the EU negotiated by Prime Minister Theresa May is for Britain to stay in the EU, the chairman of EU leaders Donald Tusk said on Tuesday…

Poll: Nearly 40 percent say they have been affected by shutdown firsthand
The Hill: Financial Policy 01/15/2019
Nearly 40 percent of Americans have been affected firsthand by the government shutdown, according to a poll released Tuesday…
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