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
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
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
7/21/2015
/ Asset Management ,
Banking Sector ,
Broker-Dealer ,
Capital Requirements ,
EU ,
Financial Institutions ,
Global Systemically Important Banks (G-SIBs) ,
Investment Firms ,
Regulatory Agencies ,
Regulatory Agenda ,
Ring-Fencing ,
Stress Tests ,
Volcker Rule
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
7/16/2015
/ Asset Management ,
Banking Sector ,
Broker-Dealer ,
Corporate Governance ,
Credit Ratings ,
Cybersecurity ,
EU ,
Financial Institutions ,
Global Market ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulatory Agenda ,
UK
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
7/9/2015
/ Banking Sector ,
BSA/AML ,
Capital Markets ,
Capital Requirements ,
Credit Rating Agencies ,
Crowdfunding ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulatory Agenda ,
Regulatory Standards ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Supervision ,
UK Competition and Markets Authority (CMA)
In This Issue:
- US Financial Stability Oversight Council Releases Guidance Regarding Calculations of Stage 1 Threshold
- US Federal Agencies Issue Final Standards for Assessing Diversity Policies and Practices of...more
6/17/2015
/ Automotive Loans ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Unions ,
Derivatives ,
Diversity ,
DMO ,
Dodd-Frank ,
Endangered Species Act (ESA) ,
EU ,
FDIC ,
Federal Reserve ,
FICC ,
Financial Institutions ,
Financial Markets ,
Foreign Banks ,
FSOC ,
FX Swaps ,
Non-Bank Lenders ,
Over The Counter Derivatives (OTC) ,
Securities and Exchange Commission (SEC) ,
Threshold Requirements ,
Volcker Rule
In This Issue:
- Federal Banking Agencies Release Statement on Annual Stress Tests at Medium-Sized Financial Companies
- Extension of Transitional Provisions for Exposures to CCPs Formally Announced
-...more
6/11/2015
/ Asset Management ,
Bank of England ,
Banking Sector ,
Basel III ,
BSA/AML ,
Capital Requirements ,
Central Counterparties ,
Enforcement Actions ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
FDIC ,
Federal Reserve ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Liquidity ,
Lloyds Banking Group ,
OCC ,
Pensions ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
Supervision ,
Technical Standards
In This Issue:
- US Board of Governors of the Federal Reserve System Proposes Rule to Treat US Municipal Securities as Level 2B High-Quality Liquid Assets under the Liquidity Coverage Ratio
- US Financial...more
6/4/2015
/ Banking Sector ,
Capital Requirements ,
Central Counterparties ,
EU ,
Federal Reserve ,
Financial Institutions ,
Financial Markets ,
Investment Funds ,
Municipal Securities Issuers ,
Prudential Regulation Authority (PRA) ,
Regulatory Agencies ,
Regulatory Agenda ,
Stress Tests ,
Structured Financial Products ,
UCITS
In this issue:
- US Federal Banking Agencies Issue Guidance on Regulation Z and Regulation X
- European Banking Authority Consults on Identification Methodology for Global Systemically Important Institutions...more
In this issue:
- US Banking Agencies Issue FAQs on the Regulatory Capital Rule
- US Banking Agencies Permit Wells Fargo to Begin Using Advanced Approaches Framework
- Regulation on Reporting of...more
In this issue:
- US Banking Regulators Request Comments on Reducing Regulatory Burden
- European Banking Authority Opinion on Definition of Eligible Capital
- Implementing Technical Standards under CRR...more
2/25/2015
/ Asset Management ,
Banks ,
Broker-Dealer ,
Brokers ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
FDIC ,
Financial Institutions ,
Futures ,
Investment Adviser ,
Liquidity Coverage Ratio ,
UK
In this issue:
- US Office of the Comptroller of the Currency Releases Community Reinvestment Act Evaluations
- Amendment to Regulation on Supervisory Reporting of Institutions on Asset Encumbrance, Single Data...more
1/28/2015
/ Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Community Reinvestment Act ,
Enforcement ,
EU ,
European Banking Authority (EBA) ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Insider Trading ,
Libor ,
Market Manipulation ,
Mortgages ,
No-Action Relief ,
OCC ,
Prudential Standards ,
Sovereign Debt ,
Strategic Enforcement Plan ,
Supervision ,
Truth in Lending Act (TILA)