Basel Committee

News & Analysis as of

The Financial Report - Volume 5, No. 2 - January 2016 (Global)

This week, the United States Supreme Court agreed to hear a case that could help to define what conduct constitutes insider trading and what level of proof the government must meet to successfully prosecute alleged insider...more

UK Financial Regulatory Developments - January 2016 #7

PERG releases 2015 annual report - PERG has published its 2015 annual report into disclosure and transparency practices for the largest private equity-backed portfolio companies in the UK. It provides a summary of the...more

Regulators Change Bank Audit Committee Duties as Audit Season Begins

The Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency issued an advisory to indicate their support for the principles and...more

Orrick's Financial Industry Week in Review

The Federal Housing Finance Agency Releases Final Rule on Federal Home Loan Bank Membership - On January 12, 2016, the Federal Housing Finance Agency ("FHFA") issued a final rule establishing new requirements for...more

Basel Committee Issues Revised Framework for Market Risk Capital Requirements

The Basel Committee on Banking Supervision (BCBS) has issued revised standards for minimum capital requirements for market risk. The purpose of the revised market risk framework is to ensure that the standardised and internal...more

Bridging the Week - January 2016 #3

Non-US Broker Fined by CFTC for Soliciting Futures Orders and Handling Funds for Two US Customers Without Registration or an Exemption: Otkritie Capital International, Ltd., a UK-based broker, agreed to settle charges with...more

Step-In Risk: A New Reputational Risk

This Client Alert discusses the Basel Committee’s proposal to require banks to identify and measure the “step-in” risk from related “shadow banks.” On December 17, 2015, the Basel Committee on Banking Supervision (“Basel...more

UK Financial Regulatory Developments - January 2016 #1

TIA publishes guidance on paperless transfers - TIA has published industry guidance on paperless renunciation or transfer of units or shares in authorised investment funds. The guidance sets out measures that operators...more

The Financial Report - Volume 5, No. 1 January 2016 (Global)

Discussion and Analysis Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, announced in FINRA’s 11th annual Regulatory and Examination Priorities Letter, published earlier this week, that...more

Basel Committee reports on banks’ adoption of risk principles

The Basel Committee has published its report on the progress of banks’ adoption of its principles for effective risk data aggregation and risk reporting. G-SIBs are required to fully implement these principles by 2016. This...more

Basel Committee consults on step-in risk

The Basel Committee is consulting on the identification and management of step-in risk. This is the risk that a bank will provide financial support to an entity beyond, or in the absence of, its contractual obligations should...more

Basel Committee publishes credit risk guidance

The Basel Committee has published guidance on credit risk and accounting for expected credit losses. Comprising 11 principles...more

Basel Committee consults on financial inclusion

The Basel Committee has issued a consultation on proposed guidance for the regulation and supervision of institutions relevant to financial inclusion. The guidance examines the risks presented by banks and non-bank financial...more

Your daily dose of financial news The Brief – 12.14.15

Expected highlights for the week ahead, courtesy of the Times, include two highly anticipated and long-awaited events with major economic ramifications: a Fed liftoff and the debut of Star Wars: The Force Awakens – NYTimes...more

Basel Committee consults on Standardised Approach to credit risk

The Basel Committee has published a second consultation on Revisions to the Standardised Approach for credit risk, which forms part of its drive to simplify requirements. Respondents to the first consultation said the...more

Financial Regulatory Developments Focus - November 2015 #3

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

Basel Committee reports on finalising reforms

The Basel Committee has published two reports in advance of the G20 summit. The reports cover: - finalising post-crisis reforms: an update reviews the Basel Committee’s work since the global financial crisis to...more

Basel Committee reports on the trading book

The Basel Committee has published the results of its interim impact analysis of its fundamental review of the trading book. It assesses the capital impact of proposed revisions to the market framework previously consulted on....more

Basel Committee consults on haircut floors

The Basel Committee is consulting on a proposal to incorporate the FSB policy framework for haircut floors for non-centrally cleared securities financing transactions (SFT) into the Basel III framework. The proposal is based...more

BIS consults on TLAC holdings

The Basel Committee has issued a consultation on the prudential treatment of banks’ investments in holdings of TLAC qualifying instruments. The proposal is for banks to deduct from their regulatory capital their holdings of...more

Basel Committee consults on capital for simple securitisations

The Basel Committee is consulting on capital treatment for “simple, transparent and comparable (STC)” securitisations. It proposes to supplement the July 2015 STC criteria with additional criteria for the specific purpose of...more

BCBS Consultation Document on Haircut Floors

The Basel Committee on Banking Supervision (BCBS) has published a consultation document on haircut floors for non-centrally cleared securities financing transactions. The report is published following a recommendation by the...more

FSB updates G-SIBs list

FSB has updated the list of G-SIBs. There are now 30 banks on the list. China Construction Bank has been added to the list and BBVA removed. In conjunction with this publication, the Basel Committee has released the following...more

Bridging the Week - November 2015

SEC to Permit Capital Raising Through Crowdfunding: The Securities and Exchange Commission finalized rules that will permit eligible companies to raise money through Internet offerings of their securities—a practice known as...more

Financial Regulators Adopt Final Margin Rules for Non-Cleared Swaps

On October 22, the US prudential regulators (the Federal Deposit Insurance Corporation, Board of Governors of the Federal Reserve, Comptroller of the Currency, Farm Credit Administration and Federal Housing Finance Agency)...more

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