News & Analysis as of

Capital Requirements

Bank of England Publishes Consultation on Internal Ratings Based Approach

by Shearman & Sterling LLP on

The Prudential Regulation Authority has published a consultation paper outlining the Prudential Regulation Authority's proposed changes to the Internal Ratings Based approach...more

US Commodity Futures Trading Commission Extends Comment Period on Proposed Capital Requirements for Swap Dealers and Major Swap...

by Shearman & Sterling LLP on

The CFTC announced that it was extending the comment period for the proposed rule on capital requirements applicable to swap dealers and major swap participants...more

Financial Services Quarterly Report - First Quarter 2017: DIFC Lowers Cost of Entry for Fund Managers

by Dechert LLP on

The Dubai International Financial Centre (DIFC) is one of the leading financial hubs in the Middle East. Its funds regime – administered and regulated by the Dubai Financial Services Authority (DFSA) – has been updated a...more

EU Technical Standards on the Exchange of Information between Regulators Regarding Qualify Holdings Published

by Shearman & Sterling LLP on

Final EU Implementing Technical Standards on common procedures, forms and templates for the consultation process between national regulators when carrying out prudential assessments relating to proposed acquisitions of...more

Bridging the Week - March 2017 #3

CFTC Chairman Nominee Warns of Tough Love to Come: KISS But Also Aggressive and Assertive Enforcement: In a speech last week before an assembly of industry executives at FIA’s annual Boca Raton conference, J. Christopher...more

IPO Market for Closed-End Funds Poised for Serious Rebound

by Bryan Cave on

It’s clear to anyone paying attention that the market for initial public offerings of closed-end funds has fallen off dramatically over the last few years. Undoubtedly, the primary cause of this fall off has been the gaping...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - Class Action Against Lending Club and WebBank Headed to Defeat - On Monday, January 31, 2017, a federal district court in the Southern District of New York granted a motion to...more

Understanding TLAC - The Federal Reserve’s final bank capital rules have been hailed as the end of too big to fail

by Morrison & Foerster LLP on

The Federal Reserve Board’s final rules regarding total loss absorbing capacity (TLAC) requirements for global systemically important banks (GSibs) in the US will require levels of capital and other loss-absorbing capacity...more

House Financial Services Committee Chairman Hensarling Proposes Changes to the CHOICE Act.

by Ballard Spahr LLP on

On Monday, Chairman Hensarling circulated a memorandum to the House Financial Service Committee Leadership Team suggesting key revisions to the CHOICE Act. It only addresses proposed changes to the CHOICE Act; several key...more

European Authorities Publish Report on Joint Functioning of EU Capital Requirements and European Market Infrastructure Regulation

by Shearman & Sterling LLP on

The European Banking Authority and the European Securities and Markets Authority published a Report on the joint functioning of the Capital Requirements Regulation and the European Market Infrastructure Regulation. The focus...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Unfortunately enough for Deutsche Bank, 2017 isn’t starting off much better than the previous year. The German banking giant has agreed to pay a $425 million fine to NY state authorities (and another $204 million to the UK’s...more

NYDFS, American Bankers Association Weigh In On OCC Fintech Charter Proposal

by Ballard Spahr LLP on

The New York State Department of Financial Services (NYDFS) has come out strongly against an Office of the Comptroller of the Currency (OCC) proposal to grant national bank charters to financial technology (fintech)...more

Financial Regulatory Developments Focus - January 2017

by Shearman & Sterling LLP on

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

Peer-to-Peer Lending Regulation Released by OJK

by White & Case LLP on

In light of the rapid development of peer-to-peer (P2P) lending using information technology (IT) ("P2P Lending") in Indonesia, on 28 December 20161 the Indonesian Financial Services Authority ("OJK") enacted OJK Regulation...more

European Banking Authority Updates the Recommendations on Equivalence of Confidentiality Regimes

by Shearman & Sterling LLP on

The European Banking Authority published an updated recommendation on the equivalence of the confidentiality regimes of third country supervisory authorities. The EU Capital Requirements Directive provides that third country...more

[Webinar] Should Your Fintech Company Apply for an OCC Charter? - January 24th, 12:00pm EST

by Pepper Hamilton LLP on

During this webinar, panelists will address whether a fintech company should apply, and what is involved in obtaining the proposed fintech OCC charter....more

US Commodity Futures Trading Commission Proposes Rule Establishing Minimum Capital Requirements for Swap Dealers

by Shearman & Sterling LLP on

The CFTC issued a proposed rule establishing minimum capital requirements for Swap Dealers and Major Swap Participants. As required by section 731 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the rules...more

OCC Adopts Final Rule On Receiverships for Uninsured National Banks

by Locke Lord LLP on

On December 19th, the Office of the Comptroller of the Currency issued a final rule regarding how it will address receiverships of special purpose national banks which do not have deposits insured by the Federal Deposit...more

TLAC’s Back! Sifting Through the Federal Reserve’s Final TLAC Rule

by Morrison & Foerster LLP on

On December 15, 2016, the Board of Governors of the Federal Reserve System (the “Federal Reserve”) issued its final rules regarding total loss absorbing capacity (the “Final TLAC Rule”) requirements for global systemically...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CTFC Approves Re-Proposal of Position Limits Regulation - On December 5, 2016, the U.S. Commodity Futures Trading Commission ("CFTC") unanimously approved to re-propose rules that...more

CFTC Approves Minimal Capital Requirements for Swap Dealers and Major Swap Participants

On December 2, 2016, the U.S. Commodity Futures Trading Commission (CFTC) unanimously approved proposed rules that establish minimum capital requirements for swap dealers and major swap participants. The proposed rules set...more

Implications for Non-EU Banking Groups of the EU’s New Intermediate Holding Company Proposals

by Shearman & Sterling LLP on

The European Commission has published draft legislative proposals which would require large non-EU banking firms with EU operations to establish an intermediate holding company in the EU. The proposed rules are similar to US...more

Corporate and Financial Weekly Digest - Volume XI, Issue 47

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - Supreme Court Rules on Insider Trading Involving Family and Friends - In its first insider trading decision in nearly two decades, the US Supreme Court ruled unanimously to uphold an insider trading...more

Bridging the Week - December 2016

CFTC Re-Proposes Capital Rules for Swap Dealers: The Commodity Futures Trading Commission re-proposed minimum capital requirements for swap dealers and major swap participants that are not subject to prudential...more

European Parliament Adopts Resolution on Finalization of Basel III

On November 23, 2016, the European Parliament published a provisional version of the text of the resolution it has adopted on finalization of Basel III. Among other things, in the resolution, the Parliament:...more

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