Prudential Standards

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UK Financial Regulatory Developments - April 2016 #22

TCFD consults on forthcoming work - TCFD has launched a questionnaire seeking views to inform its thinking throughout the year whilst its recommendations are still under development. The consultation asks questions on...more

US Board of Governors of the Federal Reserve System Proposes New Data Items for Regulatory Reporting by Foreign Banking...

The US Board of Governors of the Federal Reserve System proposed changes to various reporting forms, including FR Y-7N, FR Y-7NS and FR Y-7Q, requiring collection of fourteen new data items to monitor compliance with enhanced...more

Single Resolution Board Begins Data Collection for MREL Determination

The Single Resolution Board announced that it had started to collect data for the purposes of resolution planning and the determination of the Minimum Requirement for Own Funds and Eligible Liabilities (known as MREL) for...more

European Central Bank Proposes Guide for Recognition of Institutional Protection Schemes

The European Central Bank launched a consultation on its proposed guide to the recognition of institutional protection schemes for prudential purposes. Under the Capital Requirements Regulation an IPS is a contractual or...more

Financial Regulatory Developments Focus - February 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

EBA defines harmonised prudential requirements for CSDs

EBA has published its draft RTS on prudential requirements for Central Securities Depositories (CSDs). The RTS set out the prudential framework that will apply to both CSDs offering banking-type ancillary services and...more

EBA Final Draft RTS on Prudential Requirements for CSDS

On December 16, the EBA published its final report setting out draft RTS on prudential requirements for central securities depositories (“CSDs”) under the Regulation on improving securities settlement and regulating CSDs...more

Fed Governor Brings Shadow Banking Into the Light

Why it matters - In addressing the impact of the so-called shadow banking industry with the financial markets, Daniel K. Tarullo, a member of the Board of Governors of the Federal Reserve System, advocated for regulation...more

BoE discusses prudential regulation and supervision priorities

BoE Director of General Insurance, Chris Moulder, has spoken to the Westminster Business Forum on the policy priorities for prudential regulation and supervision. He discussed the approach to the Solvency 2 regime, preferred...more

IFSB publishes 2015 indicators

IFSB has published its second set of Prudential and Structural Islamic Financial Indicators from 16 member countries....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

Legislative Proposal for an EU Framework for Simple, Transparent and Standardized Securitization

On September 30, 2015 the European Commission (EC) published a legislative proposal for an EU framework for simple, transparent and standardized securitization. It has also published a legislative proposal for a regulation...more

EBA consults on harmonised definition of default

EBA is consulting on draft guidelines under the Capital Requirements Regulation (CRR) to harmonise the definition of default across the EU prudential framework, which is intended to bring consistency in the way EU banks apply...more

Australian Superannuation Update: Independent Directors Superannuation Governance Bill

On Wednesday, 16 September 2015, the government tabled legislation that, if passed, will impose, in the case of corporate trustees, a requirement that one third of directors be independent from the trustee with an independent...more

European Banking Authority Shadow Banking Guidelines – Part 3: The Rationale and Context Behind the Guidelines

In the third of our series of updates on the European Banking Authority (EBA) consultation paper on the draft EBA Guidelines on limits to the exposures that EU regulated banks should have to shadow banks (the Guidelines), we...more

Financial Regulatory Developments Focus - September 2015 #2

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 Shadow Banking Guidelines – Part 2: What is a Shadow Banking Entity?

In the second of our series of updates on the guidelines proposed by the European Banking Authority (EBA) to minimise the risks that can transmit from the shadow banking sector to the regulated banking system (the...more

Financial Regulatory Developments Focus - August 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

Financial Regulatory Developments Focus - August 2015 #2

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

Dodd-Frank at 4: Where do we go from here?

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

U.S. Capital Markets Regulation and Practices: An Overview for Non-U.S. Companies

Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars, for companies located outside the United States. For non-U.S. companies (which we refer to in this...more

Financial Regulatory Developments Focus - July 2015 #3

In this issue: - US Federal Deposit Insurance Corporation Issues Notice of Proposed Rulemaking to Revise How Small Banks are Assessed for Deposit Insurance - UK Prudential Regulation Authority Consults on...more

Financial Regulatory Developments Focus - July 2015 #2

In this issue: - US Federal Banking Agencies Post Public Sections of Resolution Plans - US Office of the Comptroller of the Currency Report Discusses Risks Facing National Banks and Federal Savings Associations...more

Financial Regulatory Developments Focus - April 2015 #4

In this issue: - Federal Deposit Insurance Corporation Seeks Comment on Potential New Deposit Account Records Requirements for Banks with a Large Number of Deposit Accounts - Basel Committee Removes Selected...more

FSOC’s Designation of Nonbank SIFIs: More New Developments

The end-of-year holidays failed to slow the pace of developments surrounding the Financial Stability Oversight Council’s (FSOC) process for designating nonbank Systemically Important Financial Institutions (SIFIs) for Federal...more

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