Shadow Banking

News & Analysis as of

The New Future of US Banking and Financial Services Regulation

The presidential election has opened the possibility of significant changes to the Dodd-Frank Act regime that has been implemented over the last six years. It remains to be seen what plans the incoming administration will...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CFTC Division of Market Oversight Reminds Market Participants of the Upcoming Expiration of Certain No-Action Relief From the Ownership and Control Final Rule - On November 16,...more

Financial Regulatory Developments Focus - October 2016

Bank Prudential Regulation & Regulatory Capital - US Board of Governors of the Federal Reserve System Releases Proposed Rule to Modify Capital Plan and Stress Testing Rules - On September 26, 2016, the US Board of...more

The Big Picture: EU's Financial Regulation Offensive

In the aftermath of the financial crisis, the national and international response by legislators and regulators has been to substantially overhaul and increase financial regulation applicable to banks and other financial...more

Your daily dose of financial news - The Brief – 8.23.16

The 2d Circuit has refused the DOJ’s motion for reconsideration of the panel’s May decision overturning a jury verdict and accompanying $1.27 billion fine against Bank of America over its “Hustle” mortgage generation program....more

Financial Regulatory Developments Focus - June 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

Corporate and Financial Weekly Digest - Volume XI, Issue 22

BROKER-DEALER FINRA - Issues Guidance With Respect to Stop Orders and Volatile Market Conditions - On May 26, FINRA issued guidance encouraging firms to review their policies with respect to the use of stop orders...more

Financial Stability Board Publishes Thematic Review on Policy Implementation and Shadow Banking

The Financial Stability Board published its thematic review on the implementation of the FSB Framework for Shadow Banking Entities. The objective of the review was to evaluate the progress made by FSB jurisdictions in...more

The European Banking Authority Shadow Banking Guidelines: Unintended Consequences

This article considers the recent European Banking Authority Shadow Banking Guidelines (the “Guidelines”), seeks a definition of shadow banking and discusses some of the potential consequences of the Guidelines for...more

The Long Long Game: The EU Financial Regulatory Agenda Into 2016 and Beyond

2016 will mark the eighth anniversary of the collapse of Lehman Brothers and the raft of regulatory reforms introduced in the aftermath of that event and the wider financial crisis will continue to be implemented during the...more

The Securities Financing Transactions Regulation - The SFTR will improve transparency in securities and commodities lending,...

The Regulation on Transparency of Securities Financing Transactions and of Reuse (2015/2365) (the SFTR) is a key part of the EU's initiative to reform shadow banking following the 2007-2008 financial crisis. Its aim is to...more

Step-In Risk: A New Reputational Risk

This Client Alert discusses the Basel Committee’s proposal to require banks to identify and measure the “step-in” risk from related “shadow banks.” On December 17, 2015, the Basel Committee on Banking Supervision (“Basel...more

SFT Regulation Comes into Force on January 12, 2016

On January 12, the Regulation on Reporting and Transparency of Securities Financing Transactions will come into force (“the SFT Regulation”). Securities financing transactions (“SFTs”) allow market participants to access...more

Your daily dose of financial news The Brief – 1.12.16

The trail-blazing and transcendent David Bowie died this weekend after an 18-month battle with cancer. Incredibly, his reach extended beyond music, cinema, holiday duets, fashion, and stage and into our world of finance, as...more

EBA finalises guidelines on shadow banking exposures

EBA has published its final guidelines on limiting institutions’ exposures under the CRR to entities that carry out bank-like activities outside a regulated framework. The guidelines allow EU institutions to set internal...more

New EU Regulation on Securities Financing Transactions and Reuse of Collateral

Regulatory context - The regulation on transparency of securities financing transactions and of reuse (the “Regulation”) stems from a belief that the 2007-08 global financial crisis revealed excessive speculative...more

Financial Regulatory Developments Focus - December 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

EBA Publishes Reports, Guidelines and Draft RTS in Relation to the CRR

The European Banking Authority (“EBA”) has published the following documents in connection with the Capital Requirements Regulation (Regulation 575/2013) (“CRR”): Final guidelines on limits on exposures to shadow...more

Financial Regulatory Developments Focus - December 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

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

Casting Light on Shadows: New Transparency Rules for Securities Finance Transactions

This article summarises potential new European regulatory obligations that may arise for any financial entity, whether located inside or outside of the European Union, that regularly or occasionally enters into securities...more

FSB reports on shadow banking

FSB has published a suite of papers on shadow banking. The papers comprise: - a progress report on actions taken to implement FSB’s two-pronged strategy to address financial stability concerns associated with shadow...more

Council adopts shadow banking reform

The Council has adopted the Regulation on transparency of securities financing transactions (SFTR) designed to improve the transparency of securities financing transactions (SFTs) in the shadow banking sector. SFTR is aimed...more

Financial Regulatory Developments Focus - November 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

Basel Committee consults on haircut floors

The Basel Committee is consulting on a proposal to incorporate the FSB policy framework for haircut floors for non-centrally cleared securities financing transactions (SFT) into the Basel III framework. The proposal is based...more

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