Estimated shortfall to comply with new leverage rule is US$68 billion, says Fitch
Knowledge First must file report by May 2015
Regulator alleges compliance deficiencies at three firms headed by Joe Dwek
Asking first can prevent problems down the road
Regulator plans to examine cost sharing agreements and reps selling syndicated mortgages
U.s. regulator to focus on fraud and sales practices, among other issues
Concerns about suitability top the list
Changes intended to further integrate risk-based methodology
Four new seminars added to assist registrants with strengthening their compliance practices
Compliance reviews in 2014 to focus on CRM 2 reforms, conflicts of interest and social media usage