GRC Report Staff

The Bank of England's weekly balance sheet for 16 September 2026 shows reserve balances down about GBP £3.6 Billion week over week, while short-term and indexed long-term repo lending increased. This is a routine data release rather than a new regulatory requirement, but it provides useful signals on sterling liquidity conditions and central bank operations for treasury, liquidity risk, and compliance teams.

The OCC's September 2026 enforcement release announces two Orders of Prohibition against former employees of U.S. Bank, N.A. and PNC Bank, N.A. for insider misconduct involving customer and bank funds. The actions show that the OCC continues to hold individuals personally accountable and that frontline insider fraud remains a live risk. Compliance teams should use these cases to test controls over employee access to accounts and funds.

The Dutch Data Protection Authority (AP) reviewed the draft bill implementing Regulation (EU) 2023/2844 and Directive (EU) 2023/2843 on the digitalization of judicial cooperation and had no comments on it. The clean opinion signals low data protection friction for the bill's passage. Compliance teams should still track the legislative process, since the bill affects how personal data is exchanged electronically in cross-border judicial matters.

The SEC has issued a temporary, conditional exemptive order under Exchange Act Section 36(a)(1). It exempts Tokenized Securities Venues (TSVs) from the "exchange" definition and Covered Firms from the "dealer" definition, enabling onchain trading of certain tokenized NMS stocks. Compliance teams at broker-dealers, trading venues, and liquidity providers should assess eligibility and conditions now, because the relief is interim and the SEC has signaled that durable rulemaking will follow.

This ECB Working Paper (No 3284) is a research publication, not a regulatory requirement. It presents a method for adjusting model-based forecasts so they match survey probability histograms exactly, and it reports improved accuracy, especially during the Great Recession and COVID-19. Compliance teams should treat it as supervisory-adjacent context for model risk management and stress-testing practices, not as a new obligation.

In a speech to the Investment Company Institute, the SEC's Chief Economist said AI strengthens the case for better disclosure data, not more of it. He also encouraged market participants to submit well-supported economic evidence in rulemaking comments. The speech creates no new obligations, but it signals SEC priorities on data quality, materiality, and economic analysis that matter for fund and adviser compliance teams.

The Dutch Authority for the Financial Markets (AFM) surveyed six major banks, four insurers, and five major financial service providers and found that internal audit functions are increasingly professional and are investing more in independent review. The AFM published good practice examples and expects firms to adapt them to their own organizations. Compliance teams should use the report to benchmark their third line of defense and prepare for supervisory expectations.