Industry Examinations

News & Analysis as of

Compulsory examinations for financial planners on the horizon

ASIC has used its opening address to the Parliamentary Joint Committee on Corporations and Financial Services to advocate for compulsory examination of financial planners. ...more

CFPB Releases Supervisory Report Highlighting “Risky Practices” of Nonbanks

The CFPB released a report regarding certain actions the CFPB discovered during its supervision of the payday, debt collection, and consumer reporting industries. The report, which covers the CFPB’s supervision of those...more

The Consumer Financial Protection Bureau: Measuring the Progress of a New Agency

In This Issue: Executive Summary; Introduction; Focus of Consumer Protection Task Force; History of the CFPB; Rule-Making; Examinations and Data; Consumer Relations; The Scope of CFPB Authority; Transparency; CFPB...more

Broker-Dealers: Pay Attention To Government Audits And Examinations

The story of “The Boy Who Cried Wolf” applies with full force to the securities industry and the FCPA. ...more

OIG to look at presence of CFPB enforcement attorneys in exams

The CFPB’s practice of bringing enforcement attorneys to examinations has been a continuing concern for industry. In particular, supervised entities worry that the participation of enforcement attorneys in examinations...more

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