On October 3, 2022, as lawmakers in the United States continue to debate which agencies should regulate crypto-based activities, the Financial Stability Oversight Council (FSOC) released its Report on Digital Asset Financial...more
11/3/2022
/ CFTC ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Digital Currency ,
FDIC ,
Financial Institutions ,
Financial Markets ,
FSOC ,
Regulatory Oversight ,
Regulatory Oversight Committee ,
Securities and Exchange Commission (SEC)
In this week's newsletter, we provide a snapshot of the principal U.S., 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
4/22/2016
/ Competition ,
Consultation Periods ,
Consumer Financial Protection Bureau (CFPB) ,
Derivatives ,
Enforcement Actions ,
Enforcement Authority ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
GAO ,
Global Systemically Important Financial Institutions (GSIFI) ,
High Frequency Trading ,
Richard Cordray ,
Securities and Exchange Commission (SEC) ,
Securitization ,
Standing ,
Stress Tests ,
Swaps ,
U.S. Treasury ,
UK
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
3/18/2016
/ Basel Committee on Banking Supervision (BCBS) ,
Credit Default Swaps ,
EU ,
FDIC ,
Federal Savings Associations ,
International Banks ,
Libor ,
Market Abuse ,
Regulatory Agenda ,
Ring-Fencing ,
Securities and Exchange Commission (SEC) ,
Senior Managers ,
Transfer Pricing ,
UK ,
Volcker Rule
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
2/8/2016
/ Anti-Money Laundering ,
Capital Requirements ,
Cybersecurity ,
Deposit Insurance ,
Dodd-Frank ,
FDIC ,
Market Abuse ,
Memorandum of Understanding ,
Mexico ,
Prudential Standards ,
Rating Agencies ,
Regulation Technical Standards (RTS) ,
SEFs ,
South Africa
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
9/23/2015
/ Banking Sector ,
Corporate Governance ,
Derivatives ,
FDIC ,
Financial Institutions ,
Financial Markets ,
Investment Funds ,
Prudential Regulation Authority (PRA) ,
Regulatory Standards ,
Securities ,
UK
In This Issue:
- Board of Governors of the Federal Reserve System Approves Final Rule Amending Regulation D
- US Federal Banking Agencies Finalize Revisions to the Capital Rules Applicable to Advanced...more
6/25/2015
/ Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Community Banks ,
Escheat ,
EU ,
European Banking Authority (EBA) ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Foreclosure ,
Futures ,
Mortgage Servicers ,
OCC ,
Regulation D ,
Regulatory Agencies ,
Regulatory Agenda ,
Technical Standards
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:
- Application of EU Requirements for Remuneration Policies for Small and Non-Complex Firms Confirmed
- US Regulators Issue the Final Interpretation on Forward Contracts with Embedded Volumetric...more
5/21/2015
/ Banking Sector ,
Capital Requirements ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Interest Rate Swaps ,
OCC ,
Securitization Market ,
SIFIs ,
Technical Standards
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
4/30/2015
/ Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Corporate Criminal Fines ,
Deutsche Bank ,
Enforcement Actions ,
FDIC ,
FSB ,
Libor ,
Major Swap Participants ,
Merrill Lynch ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
SEFs ,
Virtual Currency
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:
- Bank Prudential Regulation & Regulatory Capital
- Regulatory Capital Tool for Securitization Exposures
- European Banking Authority Reports on Implications of Regulatory Reforms for...more
2/18/2015
/ Banking Sector ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Rating Agencies ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Financial Regulatory Reform ,
FSB ,
G20 ,
Investment Funds ,
Mortgages ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securitization Vehicles ,
Security-Based Swaps
In this issue:
- US Federal Deposit Insurance Corporation Issues Proposal Revising Provisions of Securitization Safe Harbor Rule
- US Federal Deposit Insurance Corporation Issues Proposal Amending Regulations...more
2/4/2015
/ Bank Holding Company ,
Basel Committee on Banking Supervision (BCBS) ,
Capital Requirements ,
Consumer Financial Protection Bureau (CFPB) ,
Fair Credit Reporting Act (FCRA) ,
FDIC ,
Federal Reserve ,
Leverage Ratio ,
Mortgages ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Threshold Requirements
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Consumer Protection
- Credit Ratings
- Enforcement
- Funds
- Excerpt from Bank Prudential Regulation &...more
12/30/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Consumer Price Index ,
Credit Ratings ,
Enforcement Actions ,
European Banking Authority (EBA) ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Mortgages ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Derivatives
- Financial Market Infrastructure
- Financial Services
- People
- Events...more
12/9/2014
/ Administrative Appointments ,
Anti-Money Laundering ,
Asset-Backed Securities ,
Bank Secrecy Act ,
Banks ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Derivatives ,
European Commission ,
Examination Manual ,
FDIC ,
Federal Reserve ,
FFIEC ,
Financial Markets ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Compensation
- Consumer Protection
- Derivatives
- Enforcement
- Financial Market...more
11/25/2014
/ Banking Sector ,
Banks ,
Capital Requirements ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Default Swaps ,
Derivatives ,
Enforcement Actions ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
FDIC ,
Federal Reserve ,
IOSCO ,
Mortgage Loan Servicing Standards ,
OCC ,
Prudential Regulation Authority (PRA) ,
Regulation SCI ,
Securities and Exchange Commission (SEC)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Compensation
- Consumer Protection
- Derivatives
- Enforcement
- Financial Services
- Funds
-...more
11/12/2014
/ Broker-Dealer ,
Capital Markets ,
Compliance ,
Derivatives ,
Dodd-Frank ,
Enforcement ,
Enforcement Actions ,
EU ,
FDIC ,
Federal Reserve ,
Financial Regulatory Reform ,
FSB ,
Global Systemically Important Banks (G-SIBs) ,
OCC ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
Six federal agencies have finalized long-anticipated joint rules imposing risk retention, or “skin-in-the-game,” requirements for securitizations. The new rules, when they become effective over the next two years, will impose...more
10/24/2014
/ Derivatives ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
FHFA ,
Higher-Risk Securitizations ,
HUD ,
New Regulations ,
OCC ,
Regulation AB ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Volcker Rule
The three US bank regulatory agencies issued a final regulation implementing the Basel III Liquidity Coverage Ratio (LCR) which requires banking organizations to maintain a minimum amount of liquid assets in order to meet...more
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Events
- Excerpt from Bank Prudential Regulation & Regulatory Capital:
EBA Publishes New...more
In this issue:
- Derivatives
- Compensation
- Bank Prudential Regulation and Regulatory Capital
- Recovery & Resolution
- Credit Ratings
- Insurance
- Financial Services...more
7/23/2014
/ Banking Sector ,
Banks ,
Basel III ,
Capital Markets ,
Credit Ratings ,
Derivatives ,
EMIR ,
Enforcement ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
FDIC ,
Insurance Reform ,
OCC ,
Reporting Requirements ,
Stress Tests
In this issue:
- Compensation
- Capital and Prudential Regulation
- Bank Structure
- Financial Services
- Consumer Protection
- Enforcement
- People
- Events...more
6/18/2014
/ Banks ,
Capital Markets ,
Disclosure Requirements ,
European Banking Authority (EBA) ,
Executive Compensation ,
FDIC ,
Financial Conduct Authority (FCA) ,
Legislative Agendas ,
New Legislation ,
OCC ,
Reporting Requirements ,
Rulemaking Process ,
Stress Tests ,
Volcker Rule
In this issue:
- Derivatives
- Capital and Prudential Regulation
- Remuneration
- Credit Ratings
- Funds
- Financial Services
- Enforcement
- Events
-...more
6/12/2014
/ Australia ,
Banks ,
Capital Markets ,
CCMR ,
CFTC ,
Compliance ,
Credit Ratings ,
Cross-Border ,
Derivatives ,
EMIR ,
Enforcement ,
EU ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Financial Regulatory Reform ,
Foreign Banks ,
Investment Funds ,
Leverage Capital Ratio ,
Memorandum of Understanding ,
Prudential Regulation Authority (PRA) ,
Remuneration
In this issue:
- Derivatives
- Regulatory Capital
- Financial Services
- Market Infrastructure
- Enforcement
- Financial Crime
- Events
- Excerpt from Derivatives: CFTC...more
5/7/2014
/ Banks ,
Capital Markets ,
CFTC ,
Credit Ratings ,
Derivatives ,
DMO ,
EU ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
OCC ,
SEFs ,
Stress Tests