ARCHIVES

1. "OCC issues $400 million civil penalty in consent order with Citibank over risk and data governance," Balch & Bingham, Oct. 8, 2020. [Online]. Available: https://www.balch.com/insights/publications/2020/10/occ-issues-400-million-civil-penalty-in-consent-or
2. "Enforcement action types," Office of the Comptroller of the Currency. [Online]. Available: https://www.occ.gov/topics/laws-and-regulations/enforcement-actions/enforcement-action-types/index-enforcement-action-types.html
3. C. Rossi, "Silicon Valley Bank: A failure in risk management," GARP Risk Intelligence, Mar. 14, 2023. [Online]. Available: https://www.garp.org/risk-intelligence/market/silicon-valley-bank-031423
4. R. C. Azarow, D. F. Freeman Jr., A. A. Hay, M. A. Mancusi, S. K. Pfaffenroth, K. M. Toomey, and A. Raglani, "OCC and FDIC each propose policy statements focused on greater scrutiny of bank merger transactions," Arnold & Porter, Mar. 26, 2024. [Online]. Available: https://www.arnoldporter.com/en/perspectives/advisories/2024/03/occ-and-fdic-scrutiny-of-bank-merger-transactions
5. A. Nicodemus, "OCC, Fed fine Citi $136M for repeated risk management, data governance failures," Compliance Week, Jul. 11, 2024. [Online]. Available: https://www.complianceweek.com/regulatory-enforcement/occ-fed-fine-citi-136m-for-repeated-risk-management-data-governance-failures/35079.article
6. A. Kleymenova and R. E. Tomy, "Observing enforcement: Evidence from banking," Finance and Economics Discussion Series 2021-049, Board of Governors of the Federal Reserve System, Jul. 27, 2021. [Online]. Available: https://www.federalreserve.gov/econres/feds/files/2021049pap.pdf
7. M. D. Delis, P. K. Staikouras, and C. Tsoumas, "Supervisory enforcement actions and bank deposits," Journal of Banking & Finance, Sep. 2019. doi: 10.1016/j.jbankfin.2019.05.024.
8. D. Zaring, "Enforcement against the biggest banks," Journal of Financial Regulation, Mar. 2021. doi: 10.1093/jfr/fjab005.
9. B. An, R. Bushman, A. Kleymenova, and R. E. Tomy, "Social externalities of bank enforcement actions: The case of minority lending," Finance and Economics Discussion Series 2022-036, Board of Governors of the Federal Reserve System, Apr. 28, 2022. [Online]. Available: https://www.federalreserve.gov/econres/feds/files/2022036pap.pdf
10. P. Danisewicz, D. McGowan, E. Onali, and K. Schaeck, "The real effects of banking supervision: Evidence from enforcement actions," Journal of Financial Intermediation, Oct. 25, 2016. doi: 10.1016/j.jfi.2016.10.003.
11. L. Bevin, "Compliance metrics and KPIs for measuring compliance effectiveness," ZenGRC, Oct. 31, 2023. [Online]. Available: https://www.zengrc.com/blog/kpis-for-measuring-compliance-effectiveness/
12. O. Cernisevs, Y. Popova, and D. Cernisevs, "Business KPIs based on compliance risk estimation," Nov. 19, 2023.
13. Board of Governors of the Federal Reserve System, "Compliance risk management programs and oversight at large banking organizations with complex compliance profiles," Supervisory Letter SR 08-8 / CA 08-11, Oct. 16, 2008. [Online]. Available: https://www.federalreserve.gov/supervisionreg/srletters/SR0808.htm.