On October 3, 2022, as lawmakers in the United States continue to debate which agencies should regulate crypto-based activities, the Financial Stability Oversight Council (FSOC) released its Report on Digital Asset Financial...more
11/3/2022
/ CFTC ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Digital Currency ,
FDIC ,
Financial Institutions ,
Financial Markets ,
FSOC ,
Regulatory Oversight ,
Regulatory Oversight Committee ,
Securities and Exchange Commission (SEC)
The United States is the largest financial services market in the world. For an international business, expanding operations to the U.S. can facilitate capital-raising efforts, provide access to one of the world’s deepest...more
10/24/2019
/ Blockchain ,
Broker-Dealer ,
Business Formation ,
Capital Raising ,
Data Privacy ,
Distributed Ledger Technology (DLT) ,
Emerging Growth Companies ,
Entrepreneurs ,
Financial Markets ,
FinTech ,
Fund-raising ,
Global Marketplace ,
Initial Coin Offering (ICOs) ,
Investment Management ,
Limited Liability Company (LLC) ,
Popular ,
Securities and Exchange Commission (SEC) ,
Startups ,
Venture Capital
On March 6, 2019, the International Swaps and Derivatives Association (ISDA) published proposed amendments to the 2014 ISDA Credit Derivatives Definitions relating to so-called narrowly tailored credit events (NTCEs). ISDA...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
4/20/2018
/ Banking Sector ,
Competition ,
Cybersecurity ,
Derivatives ,
EU ,
Financial Markets ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
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 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
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
9/23/2015
/ Banking Sector ,
Corporate Governance ,
Derivatives ,
FDIC ,
Financial Institutions ,
Financial Markets ,
Investment Funds ,
Prudential Regulation Authority (PRA) ,
Regulatory Standards ,
Securities ,
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
9/11/2015
/ Bank of America ,
Banking Sector ,
Capital Markets ,
Capital Requirements ,
Code of Conduct ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
G20 ,
MiFID II ,
Prudential Standards ,
Shadow Banking ,
Technical Standards ,
UCITS ,
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
9/2/2015
/ Banking Sector ,
Capital Markets ,
Central Counterparties ,
CFTC ,
Corporate Governance ,
EU ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Financial Markets ,
Forex ,
IAIS ,
Liquidity ,
Market Participants ,
MiFID ,
NFA
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
8/26/2015
/ Administrative Appointments ,
Banking Sector ,
Broker-Dealer ,
Citigroup ,
Derivatives ,
EU ,
European Commission ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Hedge Funds ,
Investment Adviser ,
Leverage Ratio ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
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 issue:
- US Federal Banking Agencies Post Public Sections of Resolution Plans
- US Office of the Comptroller of the Currency Report Discusses Risks Facing National Banks and Federal Savings Associations...more
7/9/2015
/ Banking Sector ,
BSA/AML ,
Capital Markets ,
Capital Requirements ,
Credit Rating Agencies ,
Crowdfunding ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulatory Agenda ,
Regulatory Standards ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Supervision ,
UK Competition and Markets Authority (CMA)
In This Issue:
- US Financial Stability Oversight Council Releases Guidance Regarding Calculations of Stage 1 Threshold
- US Federal Agencies Issue Final Standards for Assessing Diversity Policies and Practices of...more
6/17/2015
/ Automotive Loans ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Unions ,
Derivatives ,
Diversity ,
DMO ,
Dodd-Frank ,
Endangered Species Act (ESA) ,
EU ,
FDIC ,
Federal Reserve ,
FICC ,
Financial Institutions ,
Financial Markets ,
Foreign Banks ,
FSOC ,
FX Swaps ,
Non-Bank Lenders ,
Over The Counter Derivatives (OTC) ,
Securities and Exchange Commission (SEC) ,
Threshold Requirements ,
Volcker Rule
In This Issue:
- US Board of Governors of the Federal Reserve System Proposes Rule to Treat US Municipal Securities as Level 2B High-Quality Liquid Assets under the Liquidity Coverage Ratio
- US Financial...more
6/4/2015
/ Banking Sector ,
Capital Requirements ,
Central Counterparties ,
EU ,
Federal Reserve ,
Financial Institutions ,
Financial Markets ,
Investment Funds ,
Municipal Securities Issuers ,
Prudential Regulation Authority (PRA) ,
Regulatory Agencies ,
Regulatory Agenda ,
Stress Tests ,
Structured Financial Products ,
UCITS
In this issue:
- Federal Reserve Board Releases Results for Dodd-Frank Annual Stress Tests
- The US Federal Reserve Board Extends Comment Period for Global Systemically Important Banks Surcharge
-...more
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
- Derivatives
- Financial Market Infrastructure
- Financial Services
- People
- Events...more
12/9/2014
/ Administrative Appointments ,
Anti-Money Laundering ,
Asset-Backed Securities ,
Bank Secrecy Act ,
Banks ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Derivatives ,
European Commission ,
Examination Manual ,
FDIC ,
Federal Reserve ,
FFIEC ,
Financial Markets ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Derivatives
- Financial Market Infrastructure
- Financial Services
- Funds
- Recovery & Resolution
-...more
In this issue:
- G20 Leaders Summit
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Derivatives
- Enforcement
- Financial Market Infrastructure
-...more
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Credit Ratings
- Financial Services
- Shadow Banking
- Funds
- Financial Market...more
9/2/2014
/ Banks ,
CFTC ,
Credit Ratings ,
Derivatives ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Regulatory Reform ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
UK