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
10/15/2015
/ Banking Sector ,
Capital Requirements ,
Clearing Agencies ,
EU ,
European Central Bank ,
Federal Reserve ,
Financial Institutions ,
Investment Funds ,
Payment Systems ,
Regulation P ,
Regulation Technical Standards (RTS) ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Securitization Vehicles ,
Structured Financial Products ,
Transparency ,
Whistleblower Protection Policies
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
10/7/2015
/ Acquisitions ,
Banking Sector ,
Credit Rating Agencies ,
Crowdfunding ,
Electronic Reporting ,
EU ,
Financial Institutions ,
Liquidity Risk Management Rule ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
Regulatory Agencies ,
Stress Tests ,
UK
The long anticipated overhaul of FINRA’s research rules has now been approved by the SEC. Most provisions of the new equity research rule will become effective on December 24, 2015, with limited provisions, including changes...more
In late May, FINRA published a set of Frequently Asked Questions regarding its equity research rule, which address interactions between issuers, research analysts, and investment bankers in various stages of the offering...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
10/1/2015
/ Banking Sector ,
BitLicense ,
Broker-Dealer ,
Capital Requirements ,
Cybersecurity ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Investment Funds ,
Regulatory Standards ,
Securities and Exchange Commission (SEC) ,
Supervision ,
Virtual Currency
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 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
9/16/2015
/ Banking Sector ,
Bitcoin ,
Capital Markets ,
CFTC ,
Deposit Guarantee System ,
Depository Institutions ,
EU ,
European Banking Authority (EBA) ,
Financial Institutions ,
NFA ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Registration Requirement ,
RMBS ,
Securities and Exchange Commission (SEC) ,
Swap Execution Facilities ,
Swaps
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
9/11/2015
/ Bank of America ,
Banking Sector ,
Capital Markets ,
Capital Requirements ,
Code of Conduct ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
G20 ,
MiFID II ,
Prudential Standards ,
Shadow Banking ,
Technical Standards ,
UCITS ,
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
9/2/2015
/ Banking Sector ,
Capital Markets ,
Central Counterparties ,
CFTC ,
Corporate Governance ,
EU ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Financial Markets ,
Forex ,
IAIS ,
Liquidity ,
Market Participants ,
MiFID ,
NFA
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
8/26/2015
/ Administrative Appointments ,
Banking Sector ,
Broker-Dealer ,
Citigroup ,
Derivatives ,
EU ,
European Commission ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Hedge Funds ,
Investment Adviser ,
Leverage Ratio ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
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
8/19/2015
/ Administrative Appointments ,
Banking Sector ,
CFTC ,
Competition Authorities ,
Consumer Financial Protection Bureau (CFPB) ,
Derivatives ,
Enforcement Actions ,
European Banking Authority (EBA) ,
Federal Reserve ,
OCC ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
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
8/12/2015
/ Banking Sector ,
Capital Requirements ,
Commodity Futures Contracts ,
Derivatives ,
EU ,
Financial Institutions ,
Major Swap Participants ,
Pay Ratio ,
Prudential Standards ,
Regulatory Standards ,
Security-Based Swaps ,
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
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 Federal Reserve Board Implements Changes to the Name Check Process for Domestic and International Banking Applications
- US Federal Reserve Board Grants Financial Holding Company Status to South...more
7/1/2015
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:
- 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:
- 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:
- US Federal Reserve Board Releases Semiannual Report on Banking Applications Activity
- European Banking Authority Monitors Additional Tier 1 Capital Instruments
- European Banking...more
5/14/2015
/ Banking Sector ,
Counterparties ,
Credit Ratings ,
EU ,
European Banking Authority (EBA) ,
Federal Reserve ,
Harmonization Rules ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Securitization Market ,
Tick Size
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