Capital Requirements

News & Analysis as of

"SEC Proposes Security-Based Swap Recordkeeping, Reporting and Notification Requirements and Capital Rules for SEC Registrants"

On April 17, 2014, the Securities and Exchange Commission (SEC) proposed new regulations that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street Reform and Consumer...more

FRB Approves Capital Plans of 25 Large Banking Holding Companies, but Rejects Capital Plans of Five Other Large Banking...

The FRB released the results of its annual large bank holding company capital assessment exercise known as the Comprehensive Capital Analysis and Review (“CCAR”). The FRB evaluated the capital adequacy and planning processes...more

The Qatar Financial Centre Regulatory Authority Issues New Rules for Insurance Firms Operating from the Qatar Financial Centre

The Qatar Financial Centre Regulatory Authority (“the QFCRA”) has recently issued new rules which amend the Insurance Business Rules 2006 (PINS) (the “2006 Rules”). The Insurance Business (Risk Management Capital Adequacy and...more

Business Focus: Key Issues in Joint Ventures

Introduction. A joint venture (JV) typically consists of an association of two or more people and/or entities with a view to sharing the profit or loss of a business venture in accordance with the JV agreement. Joint...more

Destination Italy Decree – New Legislative Measures to Encourage Debt Capital Markets Transactions

The Italian government has introduced a new decree, now converted into law, to encourage debt capital markets transactions by expanding favorable tax treatment. As banks adapt to new capital requirements, bank finance...more

"NFA Requests Comments on Capital Requirements and Additional Customer Protection Measures for CPOs and CTAs"

The National Futures Association (NFA) recently issued a notice requesting comments on the advisability of subjecting registered commodity pool operators (CPOs) and registered commodity trading advisors (CTAs) to minimum...more

NFA Seeks Comment on Capital Requirements for CPOs and CTAs

National Futures Association (NFA), the industry-funded self-regulatory for the futures industry, issued a Notice to Members (Notice) on January 23, 2014, requesting comment on the concept of imposing a capital requirement on...more

NFA Seeks Comment on Possible Capital Requirements for CPOs and CTAs and Additional Customer Protection Measures

The National Futures Association (“NFA”) issued Notice to Members I-14-03 seeking comment from its Member CPOs and CTAs as it considers (a) possible means of ensuring that each CPO or CTA has sufficient assets to operate as a...more

SEC Commissioner Gallagher and Money Fund Capital Requirements

The question of capital requirements and how to best backstop money market funds has lingered since the Primary Reserve Fund became the first to “break the buck” at the outset of the market crisis. The SEC initially...more

Start-Up Raising Capital? Some Common Features of Preferred Shares & Why Some Select Preferred Shares over Convertible Debt

When you start a business and want to attract your first round of financing, Preferred Shares is one product that can be offered to Investors. Many Founders have asked us to explain exactly what Preferred Shares are and...more

Group-Wide Global Insurance Capital Standards First Step - Basic Capital Mandate for G-SIIs

As the first step in the development of group-wide global insurance capital standards, the International Association of Insurance Supervisors (IAIS) released for public consultation its proposal on basic capital requirements...more

European Banking Authority Publishes Final Draft Regulatory Technical Standards On Securitisation Retention Rules – Who Can Now...

I. Introduction - Earlier this week, the EBA published its final draft Regulatory Technical Standards (“Draft RTS”) on securitisation retention rules and related requirements. The RTS are intended to provide greater...more

The Financial Report - Volume 2, No. 22 • December 12, 2013 (Global)

OSC to hold derivatives reporting seminar. The Ontario Securities Commission announced that it will hold a seminar on January 15, 2014, on the reporting requirements under the new Derivatives Trade Repositories and...more

Basel III: Subordinated Debt Regulation Amended

On 25 October 2013 the Bank of Russia (the “CBR”) issued Instruction No. 3096 U introducing amendments to the CBR Regulation No. 395-P “On the Method of Calculation of the Amount and Assessment of Adequacy of the Net Worth...more

Bank of Italy rules to implement Capital Requirements Directive IV – consultation document on prudential supervision for banks...

On November 27, 2013 the Bank of Italy submitted for public consultation a draft circular setting forth the new prudential supervision rules (“disposizioni di vigilanza prudenziale”) for banks and banking groups (the “Draft...more

Global Financial Market Insight - November 2013

Welcome - With recovery in financial markets starting to take hold it is an exciting time to launch our Global Financial Markets Insight. The purpose of our new quarterly is to help guide new and experienced users of...more

Agencies Release a Regulatory Capital Estimation Tool for Community Banks

The federal bank regulatory agencies on November 19 released an estimation tool to help community banks understand the potential effects of the recently revised regulatory capital framework on their capital ratios. The...more

"European Union Banking Reform Update"

By the end of this year, the European Commission will present its legislative proposals for EU banking structural reform. Once the proposals are implemented, EU banks will have to separate their “investment” business from...more

Orrick's Financial Industry Week In Review - November 12, 2013

CFTC Proposed Rule on Commodity Pools - On November 5, the CFTC issued a proposed rule that would require that all registered introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors...more

Federal Reserve and OCC Issue Final Rules Replacing Existing Risk-Based and Leverage Capital Rules

The Office of the Comptroller of the Currency (OCC) and the Board of Governors of the Federal Reserve System published a final rule in the Federal Register on October 11 that replaces their existing risk-based and leverage...more

Financial Regulatory Update - Autumn 2013

This newsletter provides an overview of some of the main EU and UK banking, securities and derivatives markets regulatory developments during the period 1 June to 30 September 2013. Banking Regulation Basel III...more

OCC and FRB Final Rule Revising Regulatory Capital Requirements Published in Federal Register

The OCC’s and FRB’s final rule (the “Final Rule”) that revises and replaces their existing risk-based and leverage capital requirements was published in the October 11, 2013 issue of the Federal Register. ...more

Banking Notes - October 2013: New Capital Rules for Community Banks

While small banks avoided some of the dreaded brunt of Basel III, this summer’s capital changes require all banks to reconsider their capital positions and may drive some banks to raise capital. Fortunately, the final rules...more

First Ever: Global Capital Standards for Insurers

On October 9, 2013, the International Association of Insurance Supervisors (IAIS) took a significant step toward developing a first-ever risk-based global insurance capital standard (ICS). The target date for development of...more

The Financial Report - Volume 2, No. 18 • October 10, 2013 (Global)

IN THIS ISSUE: - Discussion and Analysis - News from the Americas - News from Asia and the Pacific - News from Europe - Global Regulators - US Securities and Exchange Commission Developments - US Commodity...more

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