The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance industries (Report). The Report is the third in a series of four reports that...more
12/5/2017
/ Asset Management ,
CFTC ,
Department of Labor (DOL) ,
Derivatives ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Exchange-Traded Products ,
Federal Reserve ,
Fiduciary Rule ,
Financial Stability Board ,
FSOC ,
Insurance Industry ,
Investment Advisers Act of 1940 ,
Liquidity Risk Management Rule ,
Proposed Legislation ,
Proposed Regulation ,
Regulatory Burden ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
SIFIs ,
Stress Tests ,
Systemic Risk Buffer ,
U.S. Treasury ,
Volcker Rule
The Board of Governors of the Federal Reserve (FRB) on August 3, 2017 issued a notice inviting comment regarding Proposed Guidance on Supervisory Expectations for Boards of Directors (Proposal). The Proposal applies to boards...more
9/6/2017
/ Bank Holding Company ,
Banks ,
Board of Directors ,
Directors ,
Federal Reserve ,
Foreign Banks ,
FSB ,
Proposed Guidance ,
Public Comment ,
Savings and Loan Companies ,
SIFIs ,
Supervision
Campaign promises rarely turn into specific actions, but when they do, they are necessarily impacted by the dynamics of the legislative process. History suggests, however, that the policies of candidates can be a predictor of...more
10/12/2016
/ Acquisitions ,
Banks ,
Consumer Financial Protection Bureau (CFPB) ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
Financial Institutions ,
Financial Regulatory Reform ,
FSOC ,
Hillary Clinton ,
Industry Consolidation ,
Liquidity ,
Mergers ,
Mortgages ,
OCC ,
Policy Terms ,
Presidential Elections ,
Receivership ,
SIFIs ,
Too Big to Fail ,
Trump Administration ,
Volcker Rule
Nearly six years after the adoption of Dodd-Frank’s Title I, which provides for the regulation by the Board of Governors of the Federal Reserve System (Board) of non-bank financial companies – such as insurance companies,...more
7/27/2016
/ Advanced Notice of Proposed Rulemaking (ANPRM) ,
Capital Requirements ,
Corporate Governance ,
Dodd-Frank ,
Federal Reserve ,
FRB ,
FSOC ,
Insurance Industry ,
Liquidity ,
Public Comment ,
Risk Management ,
SIFIs ,
SIICs
The Board of Governors of the U.S. Federal Reserve System (Board) recently proposed a rule (Proposed Rule) that will impact parties to any “qualified financial contract” (QFC), as described below, with a global systemically...more
The U.S. Government Accountability Office just issued a report on the Financial Stability Oversight Council's (“FSOC”) systemically important financial institution (“SIFI”) designation process, entitled “Further Actions Could...more
The Board of Governors of the Federal Reserve System, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, Department of Housing and Urban Development, Federal Housing Finance Agency, and...more
10/29/2014
/ Asset-Backed Securities ,
Compliance ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
FHFA ,
HUD ,
Mortgage-Backed Securities ,
Mortgages ,
OCC ,
Risk Retention ,
RMBS ,
Securities and Exchange Commission (SEC)
Following years of incubation, in December 2013, five U.S. regulatory agencies – the Board of Governors of the Federal Reserve System (FRB), the Federal Deposit Insurance Corporation, the Office of the Comptroller of the...more
The Federal Reserve Board (Board) recently adopted final rules representing the most significant change in U.S. regulation of foreign banking organizations (FBOs) since the International Banking Act of 1978. Perhaps most...more
Under the final version of the Volcker Rule issued this week, issuers and sponsors of new CLO issuances should consider structuring CLOs to conform to the exclusions contained in the rule, and banks and bank affiliates that...more
12/17/2013
/ Bank Holding Company ,
Banking Sector ,
Collateralized Loan Obligations ,
Derivatives ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
Financial Regulatory Reform ,
Hedge Funds ,
Investment Fund Vehicles ,
Investment Funds ,
Leveraged Loans ,
Loans ,
Private Equity Funds ,
Reporting Requirements ,
Secured Debt ,
Volcker Rule