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
1/26/2017
/ Anti-Money Laundering ,
Capital Requirements ,
Credit Rating Agencies ,
Cybersecurity ,
FinTech ,
Global Systemically Important Banks (G-SIBs) ,
IFRS ,
Liquidity Coverage Ratio ,
No-Action Relief ,
Passporting ,
TLAC
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
6/23/2016
/ Annual Reports ,
Bank Holding Company ,
Capital Markets Union ,
Capital Requirements ,
Cybersecurity ,
Dodd-Frank ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Long-Term Investment Funds ,
No-Action Relief ,
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
6/1/2016
/ Basel III ,
Beneficial Owner ,
Capital Requirements ,
Cross-Border Transactions ,
Customer Due Diligence (CDD) ,
EU ,
Leverage Ratio ,
Leveraged Lending ,
Margin Requirements ,
Recordkeeping Requirements ,
Regulation Technical Standards (RTS) ,
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
5/6/2016
/ AML/CFT ,
Annuities ,
Asset Management ,
Capital Markets Union ,
Capital Requirements ,
Cross-Border Transactions ,
EU ,
Incentive Compensation ,
Leverage Ratio ,
MiFID II ,
SIFIs ,
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
2/8/2016
/ Anti-Money Laundering ,
Capital Requirements ,
Cybersecurity ,
Deposit Insurance ,
Dodd-Frank ,
FDIC ,
Market Abuse ,
Memorandum of Understanding ,
Mexico ,
Prudential Standards ,
Rating Agencies ,
Regulation Technical Standards (RTS) ,
SEFs ,
South Africa
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
10/15/2015
/ Banking Sector ,
Capital Requirements ,
Clearing Agencies ,
EU ,
European Central Bank ,
Federal Reserve ,
Financial Institutions ,
Investment Funds ,
Payment Systems ,
Regulation P ,
Regulation Technical Standards (RTS) ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Securitization Vehicles ,
Structured Financial Products ,
Transparency ,
Whistleblower Protection Policies
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
10/1/2015
/ Banking Sector ,
BitLicense ,
Broker-Dealer ,
Capital Requirements ,
Cybersecurity ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Supervision ,
Virtual Currency
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
8/12/2015
/ Banking Sector ,
Capital Requirements ,
Commodity Futures Contracts ,
Derivatives ,
EU ,
Financial Institutions ,
Major Swap Participants ,
Pay Ratio ,
Prudential Standards ,
Regulatory Standards ,
Security-Based Swaps ,
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
7/21/2015
/ Asset Management ,
Banking Sector ,
Broker-Dealer ,
Capital Requirements ,
EU ,
Financial Institutions ,
Global Systemically Important Banks (G-SIBs) ,
Investment Firms ,
Regulatory Agencies ,
Regulatory Agenda ,
Ring-Fencing ,
Stress Tests ,
Volcker Rule