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
7/27/2018
/ AML/CFT ,
Banking Sector ,
Competition ,
Corporate Culture ,
Credit Ratings ,
Derivatives ,
Financial Services Industry ,
FinTech ,
Payment Systems ,
Prudential Standards ,
Recovery Plans ,
UK Brexit
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
7/20/2018
/ Bank Resolution Scheme ,
Banking Sector ,
Corporate Governance ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
Investment Funds ,
MiFID II ,
Prudential Standards ,
Securities ,
UK Brexit
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
7/5/2018
/ Bank Resolution Scheme ,
Banking Sector ,
Competition ,
Corporate Governance ,
Derivatives ,
EU ,
Financial Services Industry ,
Popular ,
Prudential Standards ,
Securities ,
UK ,
UK Brexit
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
6/20/2018
/ AML/CFT ,
Derivatives ,
Enforcement Actions ,
EU ,
FinTech ,
Insider Trading ,
Investment Funds ,
MiFID II ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Recovery Plans ,
UK
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 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 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 U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/20/2018
/ Banking Sector ,
Competition ,
Cybersecurity ,
Derivatives ,
EU ,
Financial Markets ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
UK
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 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 U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
3/8/2018
/ AML/CFT ,
Corporate Culture ,
Criminal Convictions ,
Cybersecurity ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
Prudential Regulation Authority (PRA) ,
Senior Management Regime (SMR) ,
UK Brexit ,
UK Competition and Markets Authority (CMA)
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
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
The European Commission has adopted an “equivalence” decision on the derivatives regulatory regimes for derivatives clearing organisations in the United States. This follows the decisions adopted in November 2015 for Canada,...more
The European Commission has adopted “equivalence” decisions on the derivatives regulatory regimes for central counterparties in Canada, Mexico, Republic of Korea, South Africa and Switzerland. This follows the decisions...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
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
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
Implementation of the obligation for central clearing of OTC derivatives under the European Market Infrastructure Regulation now seems imminent. The European Commission has adopted a Delegated Regulation that would impose a...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
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 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
The European Commission has adopted “equivalence” decisions on the derivatives regulatory regimes for central counterparties in Australia, Hong Kong, Japan and Singapore. Further decisions are awaited for other jurisdictions...more
5/28/2015
/ Australia ,
CCPs ,
Derivatives ,
EMIR ,
Equivalency Determinations ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Regulatory Reform ,
Hong Kong ,
Japan ,
Singapore ,
Trade Repositories
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 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