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
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
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
4/11/2016
/ Asset Management ,
Blockchain ,
CFTC ,
Corporate Governance ,
Cybersecurity ,
Economic Sanctions ,
EU ,
Federal Reserve ,
Industry Consolidation ,
Maxwellisation ,
Municipal Securities Issuers ,
Natural Gas ,
Remuneration ,
Stress Tests ,
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
Bank Prudential Regulation & Regulatory Capital US Federal Deposit Insurance Corporation Issues Proposed Rule to Facilitate Access to Deposits in Large Bank Failures On February 17, 2016, the US Federal Deposit Insurance...more
2/19/2016
/ Anti-Terrorism Financing ,
Central Counterparties ,
EU ,
Federal Reserve ,
Liquidation ,
Payment Systems ,
Regulation C ,
Regulation Technical Standards (RTS) ,
Senior Managers Insurers Regime (SMIR) ,
Stress Tests ,
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
11/4/2015
/ Banking Sector ,
Confidential Information ,
Consumer Lenders ,
Crowdfunding ,
Federal Reserve ,
Financial Institutions ,
FSB ,
Global Systemically Important Banks (G-SIBs) ,
Prudential Regulation Authority (PRA) ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
UK ,
UK Competition and Markets Authority (CMA)
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
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 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 Reserve Board Expands Applicability of Small Bank Holding Company Policy Statement
- US Federal Reserve Board Requests Public Comment on Proposed Amendments to Regulation D
-...more
4/15/2015
/ Bank Holding Company ,
Community Banks ,
EU ,
European Banking Authority (EBA) ,
Federal Reserve ,
FSB ,
IMF ,
Proposed Amendments ,
Regulation D ,
Shadow Banking ,
Supervision