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
4/12/2018
/ Annual Reports ,
Appraisal ,
Banks ,
Commercial Real Estate Market ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Customer Due Diligence (CDD) ,
Disclosure Requirements ,
EU Prospectus Regime ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Agencies ,
FinCEN ,
FRBNY ,
Fund Managers ,
Global Economy ,
Investor Protection ,
MiFID II ,
Regulatory Standards ,
UK
In this 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 managers and...more
9/30/2016
/ Asset Management ,
Banking Regulators ,
Banking Sector ,
Banks ,
Broker-Dealer ,
EU ,
Financial Crimes ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Global Market ,
Investment Firms ,
MiFID
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Regulations on Methodology for Calculation of Fixed Costs by Investment Firms
- UK Bank of England Announces Details of 2015 Stress...more
4/1/2015
/ Bank of England ,
Banking Sector ,
Banks ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Rating Agencies ,
Financial Conduct Authority (FCA) ,
Payday Loans ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
UK
In this issue:
- Federal Reserve Board Releases Results for Dodd-Frank Annual Stress Tests
- The US Federal Reserve Board Extends Comment Period for Global Systemically Important Banks Surcharge
-...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:
- European Banking Authority’s Second Report on Impact of Liquidity Coverage Ratio
- Delegated Regulations under CRD IV Published in Official Journal of the European Union
- Prudential...more
1/22/2015
/ Banks ,
Capital Requirements ,
EU ,
EU Directive ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Final Rules ,
Hong Kong ,
Hong Kong Stock Exchange ,
Liquidity Coverage Ratio ,
OCC ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structural Reform
- Credit Ratings
- Derivatives
- Enforcement
- Financial Services
- Recovery &...more
1/14/2015
/ Banks ,
Credit Ratings ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
FSOC ,
Prudential Regulation Authority (PRA) ,
Recordkeeping Requirements ,
UK ,
Volcker Rule
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
- Credit Ratings
- Derivatives
- Enforcement
- Financial Market Infrastructure
- Funds...more
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:
- G20 Leaders Summit
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Derivatives
- Enforcement
- Financial Market Infrastructure
-...more
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Derivatives
- Enforcement
- Financial Market Infrastructure
- Financial Services
-...more
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Derivatives
- Recovery & Resolution
- Shadow Banking
- People
- Events
- Excerpt from Bank Prudential...more
10/29/2014
/ ACH Payments ,
Bank Holding Company ,
Banking Sector ,
Banks ,
CFTC ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Commission ,
Federal Reserve ,
Final Rules ,
Prudential Regulation Authority (PRA) ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Shadow Banking
In this issue:
- Derivatives
- Compensation
- Shadow Banking
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Financial Market Infrastructure
-...more
10/22/2014
/ Banks ,
CFTC ,
Compensation & Benefits ,
Derivatives ,
Financial Regulatory Reform ,
Foreign Banks ,
Infrastructure ,
Major Swap Participants ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
Shadow Banking ,
Swap Dealers ,
Swaps
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Financial Services
- Funds
- People
- Excerpt from...more
10/15/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Federal Reserve ,
IOSCO ,
ISDA ,
Prudential Regulation Authority (PRA) ,
Risk Alert ,
Risk Capital ,
Securities and Exchange Commission (SEC) ,
Stress Tests
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Bank Structure
- Shadow Banking
- Financial Services
- Excerpt...more
10/8/2014
/ Banks ,
CFTC ,
Compliance ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Enforcement ,
Enforcement Actions ,
Financial Regulatory Reform ,
No-Action Letters ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
SEFs ,
Swap Dealers ,
Swaps
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Financial Market Infrastructure
- Funds
- Enforcement
- People...more
10/1/2014
/ Banks ,
Capital Markets ,
CDS ,
CFTC ,
Derivatives ,
EU ,
European Banking Authority (EBA) ,
Financial Regulatory Reform ,
Infrastructure ,
Prudential Regulation Authority (PRA) ,
SEFs ,
Swaps
In this issue:
- Derivatives
- Compensation
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Credit Ratings
- Financial Services
- Consumer...more
9/24/2014
/ Banks ,
Capital Markets ,
CFTC ,
Compliance ,
Credit Ratings ,
Derivatives ,
Enforcement ,
Enforcement Actions ,
Executive Compensation ,
Financial Regulatory Reform ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
SEFs
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Financial Services
- People
- Events
- Excerpt from Derivatives:
FCA Factsheet on Review...more
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Credit Ratings
- Financial Services
- Shadow Banking
- Funds
- Financial Market...more
9/2/2014
/ Banks ,
CFTC ,
Credit Ratings ,
Derivatives ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Regulatory Reform ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
UK
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Consumer Protection
- People
- Excerpt from Derivatives:
Regulators Request FSB to Assist in...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
- Bank Structure
- Recovery & Resolution
- Bank Prudential Regulation & Regulatory Capital
- Financial Services
- Consumer Protection
- Funds...more
In this issue:
- Derivatives
- Compensation
- Recovery & Resolution
- Bank Prudential Regulation and Regulatory Capital
- Financial Market Infrastructure
- Financial Services...more
8/5/2014
/ Banking Sector ,
Banks ,
Capital Markets ,
Derivatives ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
FOMC ,
FX Swaps ,
MiFID ,
Remuneration