Capital Requirements

News & Analysis as of

European securitisation: Making a comeback? After seven years in the doldrums, moves are afoot to revitalise the European...

How likely is a successful revival of the market under qualifying securitisation — simple, transparent and standardized (STS) — going to be? That all depends on the results of the "trilogue" discussions between the European...more

European Supervisory Authorities Reject Proposed Amendments to Technical Standards on ECAIs Credit Assessments

The European Banking Authority, European Securities and Markets Authority and European Insurance and Occupational Pensions Authority (known as the Joint Committee of the European Supervisory Authorities) published an Opinion...more

European Banking Authority Argues for Powers to Update Benchmarking Portfolios for Annual Benchmarking Exercise

The European Banking Authority published an Opinion on the European Commission’s proposed amendments to the EBA's final draft Implementing Technical Standards on benchmarking of internal approaches to regulatory capital. The...more

European Banking Authority Revised Technical Standards on Additional Collateral Outflows under the Capital Requirements Regulation

The European Banking Authority published an Opinion on the European Commission's intention not to endorse final draft Regulatory Technical Standards on additional collateral outflows, prepared under the Capital Requirements...more

Federal Reserve Bank of New York President Proposes Providing Securities Firms with Access to Discount Window

Federal Reserve Bank of New York President William Dudley delivered remarks at the Federal Reserve Bank of Atlanta 2016 Financial Markets Conference, focusing on the connection between liquidity and financial stability....more

Financial Regulatory Developments Focus - May 2016

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

European Banking Authority Consults on Regulatory Technical Standards for Disclosure of Encumbered and Unencumbered Assets

The European Banking Authority published a consultation paper on draft regulatory technical standards under the Capital Requirements Regulation on the disclosure of encumbered and unencumbered assets. The CRR requires the EBA...more

European Banking Authority Publishes First List of Other Systematically Important Institutions

The European Banking Authority published the first list of Other Systematically Important Institutions in the European Union. O-SIIs are institutions which have been deemed by national regulators to be systematically relevant...more

European Commission Requests European Banking Authority to Assist in its Review of EU Capital Requirements Regulation

Two letters from Olivier Guersent DG FISMA of the European Commission to Andrea Enria, Chairperson of the European Banking Authority, on issues associated with its review of the Capital Requirements Regulation were published....more

Basel Committee on Banking Supervision Publishes Pre-announced Jurisdiction Buffer Decisions

The Basel Committee on Banking Supervision published a list of jurisdiction specific pre-announced buffer decisions. In December, 2010, the Basel Committee published Basel III: a global regulatory framework for more...more

Orrick's Financial Industry Week in Review

SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants - On April 15, 2016, the Securities and Exchange Commission adopted final rules modifying regulations "for...more

US Board of Governors of the Federal Reserve System Staff Working Paper Concludes Both Capital and Liquidity Need to be Regulated

In early April, the Board of Governors of the Federal Reserve System's Divisions of Research and Statistics and Monetary Affairs released a staff working paper entitled “Bank Regulation under Fire Sale Externalities,”...more

Corrigendum to Technical Standards on Supervisory Reporting of Institutions of Liquidity Coverage Arrangements

A corrigendum relating to the format and frequency of the reporting of liquidity requirements under the Capital Requirements Regulation was published in the Official Journal of the European Union. The corrigendum corrects...more

European Banking Authority Consults on Amendments to Approaches for Determining Proxy Spreads and Market Loss

The European Banking Authority published a consultation paper proposing amendments to the regulatory technical standards for determining proxy spread and the specification of a limited number of smaller portfolios for credit...more

UK Prudential Regulation Authority Consults on Implementing Aspects of MiFID II

The Prudential Regulation Authority published its proposals for transposing certain aspects of the Markets in Financial Instruments legislative package, which comprises the Markets in Financial Instruments Directive and the...more

European Banking Authority Reports on Implications of the EU Compensation Requirements and Bonus Cap

The European Banking Authority published its Benchmarking of Remuneration and High-Earners 2014 report. Under the Capital Requirements Directive, as amended, banks are subject to compensation requirements for staff who have a...more

EU Extension of Exemption for Commodity Dealers Confirmed

The European Council announced that it had agreed to extend an exemption for commodity dealers under the Capital Requirements Regulation, until December 31, 2020. The CRR currently exempts commodity dealers from large...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Central Bank Letter Regarding Conflict of Interest (“COI”) Risks in Investment Firms - The Central Bank issued a letter (the “Letter”) to all investment firms providing feedback on the findings of their thematic...more

Bridging the Week - March 2016 #3

Industry Comments to Regulation AT Argue CFTC Proposed Rules Too Prescriptive; Registration and Source Code Requirements Particularly Objectionable - After declining multiple requests to extend the comment period that...more

Ontario Minister of Finance Accepts Recommendations to Amend Credit Union Legislation

Ontario’s Minister of Finance recently announced that the Ontario government will accept the 15 recommendations set out in a legislative review report (Report) to amend Ontario’s credit union legislation, The Credit Unions...more

US Board of Governors of the Federal Reserve System Governor Brainard Remarks on US Economic Outlook, Market Liquidity and...

US Board of Governors of the Federal Reserve System Governor Lael Brainard provided an outlook on US economic conditions, an overview of the importance of financial market liquidity and the resilience and resolvability of...more

EU Standards on Supervisory Reporting Requirements for the Liquidity Coverage Ratio Published

Commission Implementing Regulation was published in the Official Journal of the European Union, which amends the Implementing Technical Standards on supervisory reporting by providing for significant changes to the existing...more

European Banking Authority Proposes Amendments to the EU Standards on Supervisory Reporting

The European Banking Authority published final draft Implementing Technical Standards to amend the ITS on supervisory reporting under the Capital Requirements Regulation. The amending ITS make changes to the reporting...more

European Commission Publishes a List of Planned Initiatives for 2016

On March 7, the European Commission (EC) published a document containing a list of planned EC initiatives (List). The List sets out the scope, objectives and expected adoption dates of legislative and non-legislative...more

UK Financial Regulatory Developments - March 2016 #9

CRR liquidity reporting metrics published in OJEU - The Implementing Regulation relating to additional monitoring metrics for liquidity reporting under the CRR has been published in the OJEU. The new text sets out the...more

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