In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more
11/21/2016
/ Anti-Money Laundering ,
Bank of England ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Credit Ratings ,
Cybersecurity ,
Department of Financial Services ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Financial Action Task Force ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
FinTech ,
FSMA ,
HM Treasury ,
Mary Jo White ,
MiFID II ,
OCC ,
Prudential Regulation Authority (PRA) ,
Retail Banks ,
Ring-Fencing ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Technical Standards ,
UK ,
Universal Proxy Cards
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
8/19/2015
/ Administrative Appointments ,
Banking Sector ,
CFTC ,
Competition Authorities ,
Consumer Financial Protection Bureau (CFPB) ,
Derivatives ,
Enforcement Actions ,
European Banking Authority (EBA) ,
Federal Reserve ,
OCC ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
UK
In This Issue:
- Board of Governors of the Federal Reserve System Approves Final Rule Amending Regulation D
- US Federal Banking Agencies Finalize Revisions to the Capital Rules Applicable to Advanced...more
6/25/2015
/ Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Community Banks ,
Escheat ,
EU ,
European Banking Authority (EBA) ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Foreclosure ,
Futures ,
Mortgage Servicers ,
OCC ,
Regulation D ,
Regulatory Agencies ,
Regulatory Agenda ,
Technical Standards
In This Issue:
- Federal Banking Agencies Release Statement on Annual Stress Tests at Medium-Sized Financial Companies
- Extension of Transitional Provisions for Exposures to CCPs Formally Announced
-...more
6/11/2015
/ Asset Management ,
Bank of England ,
Banking Sector ,
Basel III ,
BSA/AML ,
Capital Requirements ,
Central Counterparties ,
Enforcement Actions ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
FDIC ,
Federal Reserve ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Liquidity ,
Lloyds Banking Group ,
OCC ,
Pensions ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
Supervision ,
Technical Standards
In This Issue:
- Application of EU Requirements for Remuneration Policies for Small and Non-Complex Firms Confirmed
- US Regulators Issue the Final Interpretation on Forward Contracts with Embedded Volumetric...more
5/21/2015
/ Banking Sector ,
Capital Requirements ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Interest Rate Swaps ,
OCC ,
Securitization Market ,
SIFIs ,
Technical Standards
In this issue:
- US Office of the Comptroller of the Currency Releases Community Reinvestment Act Evaluations
- Amendment to Regulation on Supervisory Reporting of Institutions on Asset Encumbrance, Single Data...more
1/28/2015
/ Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Community Reinvestment Act ,
Enforcement ,
EU ,
European Banking Authority (EBA) ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Insider Trading ,
Libor ,
Market Manipulation ,
Mortgages ,
No-Action Relief ,
OCC ,
Prudential Standards ,
Sovereign Debt ,
Strategic Enforcement Plan ,
Supervision ,
Truth in Lending Act (TILA)
In this issue:
- European Banking Authority’s Second Report on Impact of Liquidity Coverage Ratio
- Delegated Regulations under CRD IV Published in Official Journal of the European Union
- Prudential...more
1/22/2015
/ Banks ,
Capital Requirements ,
EU ,
EU Directive ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Final Rules ,
Hong Kong ,
Hong Kong Stock Exchange ,
Liquidity Coverage Ratio ,
OCC ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Derivatives
- Enforcement
- Financial Market Infrastructure
- Funds
- Recovery and Resolution
- People...more
12/24/2014
/ Banking Sector ,
Capital Requirements ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Federal Reserve ,
Financial Markets ,
Global Systemically Important Banks (G-SIBs) ,
JOBS Act ,
OCC ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Strategic Enforcement Plan ,
Truth in Lending Act (TILA) ,
Volcker Rule
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Compensation
- Consumer Protection
- Derivatives
- Enforcement
- Financial Market...more
11/25/2014
/ Banking Sector ,
Banks ,
Capital Requirements ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Default Swaps ,
Derivatives ,
Enforcement Actions ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
FDIC ,
Federal Reserve ,
IOSCO ,
Mortgage Loan Servicing Standards ,
OCC ,
Prudential Regulation Authority (PRA) ,
Regulation SCI ,
Securities and Exchange Commission (SEC)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Compensation
- Consumer Protection
- Derivatives
- Enforcement
- Financial Services
- Funds
-...more
11/12/2014
/ Broker-Dealer ,
Capital Markets ,
Compliance ,
Derivatives ,
Dodd-Frank ,
Enforcement ,
Enforcement Actions ,
EU ,
FDIC ,
Federal Reserve ,
Financial Regulatory Reform ,
FSB ,
Global Systemically Important Banks (G-SIBs) ,
OCC ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
Six federal agencies have finalized long-anticipated joint rules imposing risk retention, or “skin-in-the-game,” requirements for securitizations. The new rules, when they become effective over the next two years, will impose...more
10/24/2014
/ Derivatives ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
FHFA ,
Higher-Risk Securitizations ,
HUD ,
New Regulations ,
OCC ,
Regulation AB ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Volcker Rule
The three US bank regulatory agencies issued a final regulation implementing the Basel III Liquidity Coverage Ratio (LCR) which requires banking organizations to maintain a minimum amount of liquid assets in order to meet...more
In this issue:
- Derivatives
- Compensation
- Bank Prudential Regulation and Regulatory Capital
- Recovery & Resolution
- Credit Ratings
- Insurance
- Financial Services...more
7/23/2014
/ Banking Sector ,
Banks ,
Basel III ,
Capital Markets ,
Credit Ratings ,
Derivatives ,
EMIR ,
Enforcement ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
FDIC ,
Insurance Reform ,
OCC ,
Reporting Requirements ,
Stress Tests
In this issue:
- Derivatives
- Regulatory Capital
- Recovery & Resolution
- Financial Services
- Consumer Protection
- Enforcement
- People
- Events
-...more
7/15/2014
/ Banking Sector ,
Banks ,
CFTC ,
Derivatives ,
Draft Guidance ,
EMIR ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
No-Action Relief ,
OCC
In this issue:
- Compensation
- Capital and Prudential Regulation
- Bank Structure
- Financial Services
- Consumer Protection
- Enforcement
- People
- Events...more
6/18/2014
/ Banks ,
Capital Markets ,
Disclosure Requirements ,
European Banking Authority (EBA) ,
Executive Compensation ,
FDIC ,
Financial Conduct Authority (FCA) ,
Legislative Agendas ,
New Legislation ,
OCC ,
Reporting Requirements ,
Rulemaking Process ,
Stress Tests ,
Volcker Rule
In this issue:
- Derivatives
- Regulatory Capital
- Financial Services
- Market Infrastructure
- Enforcement
- Financial Crime
- Events
- Excerpt from Derivatives: CFTC...more
5/7/2014
/ Banks ,
Capital Markets ,
CFTC ,
Credit Ratings ,
Derivatives ,
DMO ,
EU ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
OCC ,
SEFs ,
Stress Tests
The three Federal bank regulatory agencies have reached agreement on the terms of a proposed regulation that, for the first time, would impose quantitative requirements on major US banks’ liquidity management practices. The...more
The Federal Reserve on Wednesday, June 5, issued an interpretation of the so-called “swaps push-out” section of the Dodd-Frank Act that corrects a drafting error that virtually everyone agrees needed to be fixed. The Federal...more