Dodd-Frank Watch
March 9
- Effective Date Effective date of CFTC final rule on real-time public reporting of public swap transaction data
March 13
- Effective Date Effective date of CFTC final rule on swap data recordkeeping and reporting requirements
March 19
- Effective Date Effective date of CFTC final rule on registration of swap dealers and major swap participants
March 26
- Comments Due Comments due on annual OCC stress test
March 31
- Comments Due Comments due on enhanced prudential standards and early remediation requirements for covered companies
April 1
- Effective Date 4/1/12 – Effective date of FDIC final rule on resolution plans for insured depository institutions over $50 billion
Whitepapers
Dodd-Frank Whistleblower Provisions: A Critical Look at Minimizing Your Compliance Risk
by Mike Rost, VP Marketing, Paisley Audit, Risk & Compliance
This white paper provides an overview of the proposed Dodd-Frank whistleblower provisions and discusses potential changes to your audit and compliance processes to minimize your compliance risk.
March 23