The CFTC has recently published the following final and proposed rules codifying previously issued no action relief and restoring consumer information privacy policies and procedures...more
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
9/28/2018
/ Consumer Protection Laws ,
Corporate Culture ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
FinTech ,
MiFID II ,
Payment Systems ,
Prudential Standards ,
Securities ,
UK
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 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 U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
7/20/2018
/ Bank Resolution Scheme ,
Banking Sector ,
Corporate Governance ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
Investment Funds ,
MiFID II ,
Prudential Standards ,
Securities ,
UK Brexit
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
6/20/2018
/ AML/CFT ,
Derivatives ,
Enforcement Actions ,
EU ,
FinTech ,
Insider Trading ,
Investment Funds ,
MiFID II ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Recovery Plans ,
UK
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 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 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 U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
3/8/2018
/ AML/CFT ,
Corporate Culture ,
Criminal Convictions ,
Cybersecurity ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
Prudential Regulation Authority (PRA) ,
Senior Management Regime (SMR) ,
UK Brexit ,
UK Competition and Markets Authority (CMA)
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
2/7/2018
/ Central Counterparties ,
Enforcement Actions ,
EU ,
GAO ,
Interest Rate Swaps ,
Liquidity ,
Money Market Funds ,
Price Manipulation ,
Risk Management ,
Stress Tests ,
UK
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
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
4/22/2016
/ Competition ,
Consultation Periods ,
Consumer Financial Protection Bureau (CFPB) ,
Derivatives ,
Enforcement Actions ,
Enforcement Authority ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
GAO ,
Global Systemically Important Financial Institutions (GSIFI) ,
High Frequency Trading ,
Richard Cordray ,
Securities and Exchange Commission (SEC) ,
Securitization ,
Standing ,
Stress Tests ,
Swaps ,
U.S. Treasury ,
UK
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
3/3/2016
/ Bank Secrecy Act ,
Banking Examinations ,
Cooperation ,
Enforcement Actions ,
EU ,
Money Transfer ,
MREL ,
Payment Systems ,
Stress Tests ,
UK ,
Volcker Rule
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
10/30/2015
/ Abu Dhabi Global Markets (ADGM) ,
Anti-Money Laundering ,
Anti-Terrorism Financing ,
Banking Sector ,
Capital Requirements ,
Consultation ,
Deposit Insurance ,
Enforcement Actions ,
EU ,
European Commission ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
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:
- 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:
- Federal Deposit Insurance Corporation Seeks Comment on Potential New Deposit Account Records Requirements for Banks with a Large Number of Deposit Accounts
- Basel Committee Removes Selected...more
4/30/2015
/ Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Corporate Criminal Fines ,
Deutsche Bank ,
Enforcement Actions ,
FDIC ,
FSB ,
Libor ,
Major Swap Participants ,
Merrill Lynch ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
SEFs ,
Virtual Currency
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structural Reform
- Credit Ratings
- Derivatives
- Enforcement
- Financial Services
- Recovery &...more
1/14/2015
/ Banks ,
Credit Ratings ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
FSOC ,
Prudential Regulation Authority (PRA) ,
Recordkeeping Requirements ,
UK ,
Volcker Rule
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Consumer Protection
- Credit Ratings
- Enforcement
- Funds
- Excerpt from Bank Prudential Regulation &...more
12/30/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Consumer Price Index ,
Credit Ratings ,
Enforcement Actions ,
European Banking Authority (EBA) ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Mortgages ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Credit Ratings
- Derivatives
- Enforcement
- Financial Market Infrastructure
- Funds...more
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)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Derivatives
- Enforcement
- Financial Market Infrastructure
- Financial Services
-...more
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Bank Structure
- Shadow Banking
- Financial Services
- Excerpt...more
10/8/2014
/ Banks ,
CFTC ,
Compliance ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Enforcement ,
Enforcement Actions ,
Financial Regulatory Reform ,
No-Action Letters ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
SEFs ,
Swap Dealers ,
Swaps