Basel Committee

News & Analysis as of

Basel Committee on Banking Supervision Consults on Guidelines for the Identification and Management of Step-in Risk

The Basel Committee on Banking Supervision has published draft Guidelines on the identification and management of step-in risk. The draft Guidelines follow a previous Basel Committee consultation that was launched in December...more

TRIM – Is the ECB prematurely implementing Basel IV reforms?

The Basel Committee has not yet found consensus in favour of the so-called Basel IV proposals1. One of such proposals' key pieces, a review of the conditions in which banks will be allowed to use internal models to determine...more

UK Regulator Publishes Proposals on Pillar 2A Capital Framework

The Prudential Regulation Authority launched a consultation on proposed changes to the Pillar 2A capital framework. The Pillar 2A framework is effectively a layer of regulatory capital beyond standard requirements based on...more

The Financial Report, Volume 6, Number 3

The Ninth Circuit Court of Appeals in San Francisco is poised to rule on, with respect to President Donald Trump’s recent executive order on immigration, the question of how much power a president has to issue executive...more

Documentation for the New Swap Margin Rules and Thoughts for the Buy Side and End Users

Because of the implementation of new regulatory requirements relating to both variation and initial margin for swaps, swap documentation for many market participants is about to become much more complicated....more

Delay to Finalizing Basel III

The Basel Committee on Banking Supervision announced that it had, along with the Group of Central Bank Governors and Heads of Supervision, made progress towards completing the Basel Committee’s post-crisis regulatory reforms,...more

Financial Stability Board Publishes 2017 Plan to Address Decline in Correspondent Banking

The Financial Stability Board published an updated progress report outlining its action plan to assess and address the decline in correspondent banking. Correspondent banking relationships enable banks to access financial...more

Final Draft EU Standards on the Assessment Methodology for the Use of Internal Models Published

The European Banking Authority published a Report and the final draft Regulatory Technical Standards under the Capital Requirements Regulation on the assessment methodology national regulators should use when a firm applies...more

The Deadline for Compliance With the U.S. Variation Margin Rules Is Approaching! Are You Ready?

The requirement that non-cleared swaps be fully margined, which is one of the last pillars of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), will take effect for “financial end-users”...more

Basel Committee on Banking Supervision Consults on Revisions to Correspondent Banking Guidance for Money Laundering and Financing...

The Basel Committee on Banking Supervision launched a consultation on proposed revisions to the correspondent banking and account opening annexes of its Committee Guidelines on sound management of risks related to money...more

Financial Regulatory Developments Focus - November 2016

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

Orrick's Financial Industry Week In Review

Rating Agency Developments - On November 2, 2016, DBRS published a report entitled Unified Interest Rate Model for European Securitisations...more

International Standard for TLAC Holdings Published

The Basel Committee on Banking Supervision published the final Standard for Total Loss Absorbing Capacity holdings. The Financial Stability Board published the TLAC requirements for global systemically important banks in...more

Basel Committee on Banking Supervision Consults on Regulatory Treatment of Accounting Provisions 

The Basel Committee on Banking Supervision published a consultation paper and discussion paper on the regulatory treatment of accounting provisions under the Basel III capital framework and related policy considerations...more

The Financial Report, Volume 5, Number 18

The SEC recently adopted new rules that substantially amend Form ADV under the Investment Advisers Act of 1940, as amended (the Advisers Act). Although not as comprehensive as the Form ADV amendments adopted in 2011, the new...more

Regtech rising: Automating regulation for financial institutions

Regulatory compliance is timeconsuming and expensive for both financial institutions and regulators. The volume of information that parties must monitor and evaluate is enormous. The rules are often complex and difficult to...more

Basel Committee on Banking Supervision Progress Report on Basel III Implementation

The Basel Committee on Banking Supervision published a report to the G20 leaders, providing an update on implementation of the Basel III regulatory reforms since the Basel Committee’s last progress report in November 2015....more

Basel Committee on Banking Standards Revises its Securitisation Framework

The Basel Committee on Banking Supervision published an amended Securitisation Framework to include alternative regulatory capital treatment for simple, transparent and comparable (STC) securitisations. The Securitisation...more

Amendments to the Basel Securitisation Framework – Alternative Capital Treatment for Simple, Transparent and Comparable...

The Basel Committee on Banking Supervision (the “Basel Committee”) published an updated version of the “Basel III Document – Revisions to the securitisation framework” on 11 July 2016 (the “Amended Securitisation...more

Canadian Securities Administrators Derivatives Committee Issue Consultation Paper on Margin Requirements for Non-Centrally Cleared...

On July 7, 2016, the Canadian Securities Administrators Derivatives Committee (the “Committee”) published CSA Consultation Paper 95-401 entitled “Margin and Collateral Requirements for Non-Centrally Cleared Derivatives” (the...more

The Federal Reserve’s Proposed Rules for Financial Contracts of Global Systemically Important Banking Organizations and ISDA’s...

Last month the Board of Governors of the Federal Reserve System (the “Board”) issued proposed new rules (the “Proposed Rules”) intended to reduce the potential risks posed to the U.S. financial system by too-big-to-fail...more

UK Financial Regulatory Developments - June 2016 #14

IAIS consults on mutuals’ role in insurance markets - IAIS has published a consultation paper looking at how mutuals, community organisations and co-operatives operate and the role they play in the insurance marketplace....more

Joint Industry Response to Basel Committee Consultation on Pillar 3 Disclosure Requirements

The Institute of International Finance, the International Swaps and Derivatives Association and the Global Financial Markets Associations jointly issued an open letter to the Basel Committee on Banking Supervision. The letter...more

UK Financial Regulatory Developments - June 2016 #5

Payments UK publishes consumer payment guide - Payments UK has published a guide to help consumers avoid mistakes when sending electronic payments. (Source: Payments UK publishes consumer payment guide) Law Society...more

UK Financial Regulatory Developments - June 2016 #1

Insurance Europe reiterates PRIIPSs concerns - Insurance Europe has published a paper articulating its detailed concerns over the RTS produced by the European Supervisory Authorities in support of the Key Information...more

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