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Blog Category: Compliance

December 6, 2016
Some Thoughts by OCC on Risk Management
By John Fennell
John Fennell, OCC Chief Risk Officer, shares his insights into how OCC proactively manages its internal and external risks and best practice models that promote an enhanced risk culture within the organization.
Categories: Compliance, Operational Risk Management, Risk Management, Business Continuity

October 4, 2016
The importance of business continuity in times of operational risk
By John Fennell
John Fennell, OCC Executive Vice President and Chief Risk Officer, discusses the proactive steps OCC takes to ensure business continuity in times of operational risk to provide uninterrupted service to its market participants during unexpected market events.
Categories: Compliance, Operational Risk Management, Risk Management

July 19, 2016
The Importance of Compliance for OCC
By Richard Wallace
Richard Wallace, OCC Senior Vice President and Chief Compliance Officer, explains how the compliance landscape at OCC has evolved and how the organization proactively manages its regulatory demands, compliance requirements and stress testing.
Categories: Compliance, Regulation

June 21, 2016
Strengthening Financial Market Resiliency through Technology
By Luke Moranda
Luke Moranda, OCC Senior Vice President and Chief Information Officer, explains OCC's focus on improved resiliency and meeting heightened regulatory standards through technology and innovation.
Categories: Compliance, Cyber Security, Risk Management

May 31, 2016
An Advocate for the Listed U.S. Equities Options Industry
By Craig Donohue
OCC believes strongly in its purpose of ensuring confidence in the financial markets and the broader economy. Craig Donohue, OCC Executive Chairman, explains OCC's role in the industry and its commitment to being the foundation for secure markets.
Categories: Clearing Services, Compliance, DOL Fiduciary Rule, Regulation