Regulations Page

Project Name: ENHANCED PRUDENTIAL STANDARDS (REGULATION YY): Capital Planning, CCAR & DFAST

Total Pages: 186

Federal Register Rule Updates:

Document Name Publication Date Effective Date Type Agency Document Number Document Citation Pages
ENHANCED PRUDENTIAL STANDARDS (REGULATION YY): Capital Planning, CCAR & DFAST Oct 12, 2012 Nov 15, 2012 Final Rule Board of Governors of the Federal Reserve System 120
Supervisory Guidance: Supervisory Review Process of Capital Adequacy (Pillar 2) Related to the Implementation of the Basel II Advanced Capital Framework Jul 31, 2008 Sep 2, 2008 Final supervisory guidance. Treasury Department,Treasury Department,Federal Deposit Insurance Corporation,Federal Reserve System,Thrift Supervision Office,Comptroller of the Currency 73 FR 44620 9
Supervisory and Company-Run Stress Test Requirements for Covered Companies Oct 12, 2012 Nov 15, 2012 Final rule. Federal Reserve System 77 FR 62377 20
Policy Statement on the Scenario Design Framework for Stress Testing Nov 29, 2013 Jan 1, 2014 Final rule; policy statement. Federal Reserve System 78 FR 71435 14
Enhanced Prudential Standards for Bank Holding Companies and Foreign Banking Organizations Mar 27, 2014 Jun 1, 2014 Final rule; request for public comment on Paperwork Reduction Act burden estimates only. Federal Reserve System 79 FR 17239 100
Capital Plan and Stress Test Rules Oct 27, 2014 Nov 26, 2014 Final rule. Federal Reserve System 79 FR 64025 32
Regulatory Capital Rules; Enhanced Prudential Standards for Bank Holding Companies and Foreign Banking Organizations; Correction Nov 16, 2015 Jan 1, 2018 Final rule; correcting amendment. Federal Reserve System 80 FR 70671 3
Amendments to the Capital Plan and Stress Test Rules Dec 2, 2015 Jan 1, 2016 Final rule. Federal Reserve System 80 FR 75419 8

 

Best Practices to implement a winning Compliance Program

The process for an effective compliance implementation has 8 simple steps:

1. RESEARCH

Review, research & understand the requirements

2. ASSESS

Analyze operations & determine your compliance

3. GAP ANALYSIS

Identify & document gaps & remediation plans

4. VALIDATE

Validate the changes (Initial & ongoing validations)

5. RESEARCH

Review, research & understand the requirements

6. TRAINING

Train the staff (Rule requirements & operations)

7. DOCUMENT

Prepare evidentiary material to document your compliance

8. DEMONSTRATE

Demonstrate compliance to audit, regulators

 

Implement a winning Compliance program using Compliance Delivery Platform:

To implement a winning compliance project for ENHANCED PRUDENTIAL STANDARDS (REGULATION YY): Capital Planning, CCAR & DFAST, the regulated firm can use the BCube's Compliance Delivery Platform (CDP) to streamline their process and improve their results.

With the CDP's C-INTAKE, any regulation published in the Federal Register is structured at the section level, linked to supporting information and delivered through a simple user interface.

With single view screens to navigate through the information needed to evaluate the rule's requirements, you can develop compliant solution and create a best practice Gap Analysis using the C-GAP Manager. It even streamlines the process to execute a 3 lines of defense validation framework with built-in communication interfaces, audit trail and section specific access and approval controls.

 

Project Surveys

A project survey is available for each CDP project, and can be purchased separately as a standalone without the C-Gap Manager. The survey can be customized to include your specific requirements and are based on the individual requirements in the regulation. Each survey is designed to help you quickly evaluate your compliance to a rule and provides a draft current state and suggested pillar level gaps. If purchased with the C-Gap Manager, once you are satisfied with the results of the survey, it can be automatically uploaded into the project's gap analysis. This will save you an estimated 2 to 3 hours per rule requirement and can easily return many times the cost of the subscription in time and effort.

Keys to the "ENHANCED PRUDENTIAL STANDARDS (REGULATION YY): Capital Planning, CCAR & DFAST"

 

 

 

 

 

 

So, the question is "Can you afford not to have the BCube Compliance Delivery Platform content solutions?"

 

About Us

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Contact

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