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
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
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:
- 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
- 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
In this issue:
- Derivatives
- Compensation
- Regulatory Capital
- Credit Ratings
- Financial Market Infrastructure
- Financial Services
- Funds
- Enforcement...more
7/9/2014
/ Banks ,
CFTC ,
Compliance ,
Credit Ratings ,
Derivatives ,
Enforcement ,
Financial Regulatory Reform ,
Major Swap Participants ,
No-Action Letters ,
No-Action Relief ,
Reporting Requirements ,
Swap Dealers ,
Swaps ,
Valuation
In this issue:
- Derivatives
- Compensation
- Regulatory Capital
- Financial Services
- Financial Crime
- Excerpt from Derivatives:
European Commission Consults on Definition...more