◆ The Daily Brief
Enforcement actions, regulatory deep dives, and the frameworks worth your time. Updated weekdays. 664+ articles in the archive.
● Live · Updated daily
SEC · DOJ · OCC · FFIEC enforcement
Breaking Regulatory Compliance
The SEC's Mayur Baviskar free-riding case exposes instant deposit credit gaps across nine broker-dealers. Here is the control test to run now.
By Rebecca Leung · Aug 25, 2026
◆ Models · Governance · NIST AI RMF
Long form · Updated weekly
Feature · AI Risk
OCC and Federal Reserve have embedded AI oversight into every routine bank examination. No bank review now occurs without a discussion of AI. Here are the five documented areas examiners probe—and what to have ready.
By Rebecca Leung · Aug 24, 2026
◆ RCSA · KRIs · TPRM · Compliance Strategy
Frameworks · Deep dives
Feature · Third-Party Risk
When Wells Fargo ended its Bilt contract early, hundreds of rent payments failed and the CFPB stepped in. The lesson isn't about one fintech's stumble — it's about the gap in how every fintech plans for the scenario where the bank partner relationship ends on someone else's timeline.
By Rebecca Leung · Aug 25, 2026
◆ Data privacy laws · Incident response
State laws · IR playbooks
Feature · Incident Response
Filing the 36-hour OCC incident notification is not the end of the process. What follows—examiner review, documentation requests, and examination findings—is where incident response programs either hold up or fall apart. Here's what to prepare for.
By Rebecca Leung · Aug 22, 2026
◆ BCP · DR · Operational continuity
BCP · Disaster recovery
Feature · Business Continuity
Collecting your vendor's SOC 2 and test summary isn't FFIEC BCM compliance. Examiners want to see that you've integrated your critical vendors' continuity plans into your own BCP—with evidence of end-to-end testing and notification tracking.
By Rebecca Leung · Aug 23, 2026