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
4/11/2016
/ 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
9/16/2015
/ Banking Sector ,
Bitcoin ,
Capital Markets ,
CFTC ,
Deposit Guarantee System ,
Depository Institutions ,
EU ,
European Banking Authority (EBA) ,
Financial Institutions ,
NFA ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Registration Requirement ,
RMBS ,
Securities and Exchange Commission (SEC) ,
Swap Execution Facilities ,
Swaps
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
8/19/2015
/ 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
The US Commodity Futures Trading Commission (“CFTC”) has taken another step in refining its framework for cross-border activities, with a new set of proposed rules applicable to the cross-border application of margin...more
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:
- 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 Federal Banking Agencies Issue Guidance on Regulation Z and Regulation X
- European Banking Authority Consults on Identification Methodology for Global Systemically Important Institutions...more
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:
- US Banking Agencies Issue FAQs on the Regulatory Capital Rule
- US Banking Agencies Permit Wells Fargo to Begin Using Advanced Approaches Framework
- Regulation on Reporting of...more
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Regulations on Methodology for Calculation of Fixed Costs by Investment Firms
- UK Bank of England Announces Details of 2015 Stress...more
4/1/2015
/ Bank of England ,
Banking Sector ,
Banks ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Rating Agencies ,
Financial Conduct Authority (FCA) ,
Payday Loans ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
UK
In this issue:
- Federal Reserve Board Releases Results for 2015 Comprehensive Capital Analysis and Review
- Revised List of Validation Rules Issued by European Banking Authority for Supervisory Reporting...more
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
- Regulatory Capital Tool for Securitization Exposures
- European Banking Authority Reports on Implications of Regulatory Reforms for...more
2/18/2015
/ Banking Sector ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Rating Agencies ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Financial Regulatory Reform ,
FSB ,
G20 ,
Investment Funds ,
Mortgages ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securitization Vehicles ,
Security-Based Swaps
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:
- 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
- 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
- Derivatives
- Recovery & Resolution
- Shadow Banking
- People
- Events
- Excerpt from Bank Prudential...more
10/29/2014
/ ACH Payments ,
Bank Holding Company ,
Banking Sector ,
Banks ,
CFTC ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
Federal Reserve ,
Final Rules ,
Prudential Regulation Authority (PRA) ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Shadow Banking
In this issue:
- Derivatives
- Compensation
- Shadow Banking
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Financial Market Infrastructure
-...more
10/22/2014
/ Banks ,
CFTC ,
Compensation & Benefits ,
Derivatives ,
Financial Regulatory Reform ,
Foreign Banks ,
Infrastructure ,
Major Swap Participants ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
Shadow Banking ,
Swap Dealers ,
Swaps
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
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Financial Market Infrastructure
- Funds
- Enforcement
- People...more
10/1/2014
/ Banks ,
Capital Markets ,
CDS ,
CFTC ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
Financial Regulatory Reform ,
Infrastructure ,
Prudential Regulation Authority (PRA) ,
SEFs ,
Swaps
In this issue:
- Derivatives
- Compensation
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Credit Ratings
- Financial Services
- Consumer...more
9/24/2014
/ Banks ,
Capital Markets ,
CFTC ,
Compliance ,
Credit Ratings ,
Derivatives ,
Enforcement ,
Enforcement Actions ,
Executive Compensation ,
Financial Regulatory Reform ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
SEFs
In this issue:
- Derivatives
- Consumer Protection
- Enforcement
- People
- Events
- Excerpt from Derivatives:
CFTC Issues No-Action Relief for Qualifying Swaps Trading...more
9/16/2014
/ Australia ,
CFTC ,
Commercial Leases ,
Commodities ,
Commodity Exchange Act (CEA) ,
Derivatives ,
DSIO ,
Enforcement Actions ,
Leases ,
Major Swap Participants ,
Money Transfer ,
No-Action Relief ,
Nonbank Firms ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps