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
9/30/2016
/ Asset Management ,
Banking Regulators ,
Banking Sector ,
Banks ,
Broker-Dealer ,
EU ,
Financial Crimes ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Global Market ,
Investment Firms ,
MiFID
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
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
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
In this issue:
- US Federal Deposit Insurance Corporation Issues Notice of Proposed Rulemaking to Revise How Small Banks are Assessed for Deposit Insurance
- UK Prudential Regulation Authority Consults on...more
7/16/2015
/ Asset Management ,
Banking Sector ,
Broker-Dealer ,
Corporate Governance ,
Credit Ratings ,
Cybersecurity ,
EU ,
Financial Institutions ,
Global Market ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulatory Agenda ,
UK
In this issue:
- US Banking Regulators Request Comments on Reducing Regulatory Burden
- European Banking Authority Opinion on Definition of Eligible Capital
- Implementing Technical Standards under CRR...more
2/25/2015
/ Asset Management ,
Banks ,
Broker-Dealer ,
Brokers ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
FDIC ,
Financial Institutions ,
Futures ,
Investment Adviser ,
Liquidity Coverage Ratio ,
UK
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Compensation
- Consumer Protection
- Derivatives
- Enforcement
- Financial Services
- Funds
-...more
11/12/2014
/ Broker-Dealer ,
Capital Markets ,
Compliance ,
Derivatives ,
Dodd-Frank ,
Enforcement ,
Enforcement Actions ,
EU ,
FDIC ,
Federal Reserve ,
Financial Regulatory Reform ,
FSB ,
Global Systemically Important Banks (G-SIBs) ,
OCC ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Financial Services
- Funds
- People
- Excerpt from...more
10/15/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Federal Reserve ,
IOSCO ,
ISDA ,
Prudential Regulation Authority (PRA) ,
Risk Alert ,
Risk Capital ,
Securities and Exchange Commission (SEC) ,
Stress Tests
In this issue:
- Derivatives
- Compensation
- Regulatory Capital
- Financial Market Infrastructure
- Financial Services
- Consumer Protection
- Enforcement
- People
- Events
-...more