Sentence examples for regulatory examination from inspiring English sources

One banker's voice quivered as she described a regulatory examination of her bank.

The vacancies come at a time that calls for stiffer regulatory examination.

The Los Angeles Times reported suspicious activities in Riggs accounts controlled by the government of Equatorial Guinea, and a questionable relationship between a Riggs executive and that country's leader, sparking another regulatory examination of the bank's intersection with a dictator.

In a statement, American Express said it was "continuing its own internal reviews and is also cooperating with regulators in their ongoing regulatory examination of add-on products in accordance with an industrywide review".

Where a further regulatory examination is required, especially to satisfy AML/BSA, CRA, or safety and soundness issues, and to verify remediation of previously identified problems, the timelines are difficult to estimate, but should be carefully considered with the applicable regulatory agencies.

Also, despite FINRA's prioritization of cryptocurrency in its 2018 Annual Regulatory Examination Priorities Letter, and its past issuance of investor cautions concerning cryptocurrency fraud, the Gemini CSRO would purportedly cover an existing self-regulatory gap in the virtual currency spot market.

Regarding charges that it misled regulators, Citigroup said in the statement that it had "developed and disseminated an updated policy on responding to regulatory examinations that reaffirms CitiFinancial's commitment to ensuring that all examiners obtain complete and accurate information from employees".

Letters from the DoJ threatening suit and seeking settlement of alleged fair lending law violations, notwithstanding recent clean regulatory examinations.

Regulators often view enforcement actions as having been satisfied only when compliance is complete, which may include validation and confirmation by one or more regulatory examinations.

Bank M&A applications are subject to numerous regulatory risks, including preexisting conditions that are unknown or whose importance to the process is underestimated when the deal is signed, changes in the merging parties' businesses, changes in regulatory views or policies, and new regulatory examinations or findings.

As a result, cybersecurity practices are a key focus for regulatory examinations this year for both the Financial Industry Regulatory Authority FINRAandand the U.S. Securities and Exchange Commission SECC).