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Shadow Banking

The Root Compliance Problem: “Shadow Process”

by NAVEX Global on

Sometimes I revisit my compliance roots in the world of Sarbanes-Oxley – a place much more concerned with financial reporting than corporate ethics and culture, I know. Yet lessons from one group that can help the other still...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

We covered the move by Exxon shareholders to push the company for greater climate-change accounting last week. Now we’re learning that the NY AG believes that Exxon’s been “misleading” its shareholders about the impact that...more

The Financial Report, Volume 6, Number 10

by DLA Piper on

In an interesting development, the SEC recently charged one of its own with securities fraud. The SEC alleged that David R. Humphrey, an SEC staffer from 1998 to 2014, violated the Commission’s own employee trading rules...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

New FCC Chair Ajit Pai is wasting little time in reversing Obama-era regulatory efforts meant to restrict media firms and telecomm companies, and he’s got his sights set on net neutrality next....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

China’s infamous shadow banking industry—an $8.5 trillion marketplace that’s sprung up in reaction to the government’s “campaign against financial leverage”—is back and bigger than ever these days....more

European Commission Confirms that the Imposition of Stricter Conditions for Banks Not Necessary Due to Market Developments

by Shearman & Sterling LLP on

The European Commission published a report on market developments over the past year that would potentially have created the need for stricter requirements for the level of banks' own funds, large exposures and public...more

The Financial Report, Volume 6, Number 4

by DLA Piper on

Discussion and Analysis - On February 17, just as new rules to further facilitate intrastate and regional crowdfunding offerings are beginning to take effect, the Securities and Exchange Commission and the North...more

Financial Stability Board Sees No Reason to Harmonize Regulatory Approaches to Re-hypothecation of Client Assets

by Shearman & Sterling LLP on

The Financial Stability Board published a Report on regulatory approaches to re-hypothecation of client assets. The Report is in response to the recommendation that the possibility of harmonizing client asset rules with...more

Uncertain Seas: European Financial and Regulatory Developments into 2017

Charting New and Dangerous Waters - Lloyd George and Epictetus may be long gone but their words have much resonance with the events of 2016. The political fallout from the UK’s vote to leave the European Union (“EU”)...more

The New Future of US Banking and Financial Services Regulation

by Dechert LLP on

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

by Shearman & Sterling LLP on

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

by Morrison & Foerster LLP on

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

by Robins Kaplan LLP on

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

by Shearman & Sterling LLP on

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

by Shearman & Sterling LLP on

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

by K&L Gates LLP on

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

by MoFo Reenforcement on

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,...

by Dentons on

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

by White & Case LLP on

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

by Robins Kaplan LLP on

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

by Dentons on

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

by Dechert LLP on

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

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