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Prudential Regulation Authority

Financial Regulatory Developments Focus - May 2018 #2

by Shearman & Sterling LLP on

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

UK Prudential Regulation Authority Finalizes Model Risk Management Principles for Stress Testing

by Shearman & Sterling LLP on

The U.K. Prudential Regulation Authority has published a Policy Statement and a finalized Supervisory Statement following a consultation which ran from December 2017 to March 2018 on model risk management principles for...more

UK Regulator Confirms Revised Pillar 2 Reporting Requirements

by Shearman & Sterling LLP on

The Prudential Regulation Authority has published a Policy Statement confirming that updated Pillar 2 reporting requirements will apply from October 1, 2018 for banks, building societies and PRA-designated investment firms....more

UK Prudential Regulation Authority Finalizes Policy on Groups and Double Leverage

by Shearman & Sterling LLP on

The U.K. Prudential Regulation Authority has published a Policy Statement setting out its proposals to amend the Groups policy framework it has in place for the application of prudential standards to firms on an individual...more

FCA, PRA Sanction Barclays, Executive Re Whistleblower

by Dorsey & Whitney LLP on

The Commission has brought a number of actions seeking to protect whistleblowers. One action, for example, was brought against a firm which tried to bar former employees from talking to regulators by inserting provisions in...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Seeks Comment on Rule Proposal Regarding High-Risk Brokers - On May 30, the Financial Industry Regulatory Authority published Regulatory Notice 18-16, which seeks comment on proposed rule...more

US Federal Financial Regulators Propose Revisions to Capital Rules to Reflect Change in US GAAP Relating to Credit Losses

by Shearman & Sterling LLP on

The U.S. Board of Governors of the Federal Reserve System, U.S. Office of the Comptroller of the Currency and U.S. Federal Deposit Insurance Corporation announced proposed revisions to the agencies’ regulatory capital rules...more

Financial Regulatory Developments Focus - April 2018 #5

by Shearman & Sterling LLP on

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

Regulation Round Up - April 2018

by Proskauer Rose LLP on

3 April - The Financial Conduct Authority ("FCA") published a press release, warning that it intends to take action against general insurance firms that fail to properly implement the rules aimed at increasing...more

Corporate Insurance Newsletter – April 2018

by Hogan Lovells on

The Hogan Lovells’ Corporate Insurance Newsletter for April has been published. This provides a round-up of UK, EU and international regulatory developments relevant to UK based insurance market participants. Please see...more

Trade finance banks — time to stand up for your products!

by Sullivan & Worcester on

On 16 February 2018, the Prudential Regulation Authority (“PRA”) published a consultation paper containing a draft Supervisory Statement to clarify the PRA’s expectations regarding the eligibility of guarantees as unfunded...more

UK Prudential Regulation Authority Publishes its 2018/19 Business Plan

by Shearman & Sterling LLP on

The Prudential Regulation Authority has published its Business Plan for 2018/19 which sets out its strategic goals and workplan to deliver those goals...more

Financial Regulatory Developments Focus - April 2018 #3

by Shearman & Sterling LLP on

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

Federal Reserve Bank of New York President William Dudley Discusses the Role of Incentives in Ensuring a Resilient and Robust...

by Shearman & Sterling LLP on

Federal Reserve Bank of New York President William Dudley spoke at the U.S. Chamber of Commerce regarding the role incentives play in ensuring a resilient and robust financial system. In his remarks, President Dudley noted...more

UK Regulators Confirm Approach to Authorization and Supervision of International Banks, Investment Firms, Insurers and CCPs Under...

by Shearman & Sterling LLP on

Following the announcement on March 19, 2018 that a transitional period for Brexit had been agreed between the U.K. and the EU, the U.K. regulators have published statements setting out their expectations regarding firms'...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

UK Government Launches Independent Review Into the Prudential Supervision of the Co-operative Bank

by Shearman & Sterling LLP on

HM Treasury has directed the Prudential Regulation Authority to conduct an independent investigation into the prudential regulation of the Co-operative Bank plc during the period 2008 to 2013. HM Treasury is empowered to...more

Financial Regulatory Developments Focus - March 2018 #2

by Shearman & Sterling LLP on

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

The PRA response to the Treasury Committee’s Inquiry into Solvency II

by Hogan Lovells on

In October 2017, the Treasury Committee of the House of Commons (the Committee) published its report on the Solvency II Directive and the upcoming issues generated by Brexit for the UK insurance industry. As part of its...more

Financial Regulatory Developments Focus - March 2018

by Shearman & Sterling LLP on

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

UK financial regulators respond to the rise of the robots

by WilmerHale on

The FCA and PRA publish coordinated papers focused on risk management and governance in respect of algorithmic trading - On 12 February 2018, the UK Financial Conduct Authority (FCA) and the Prudential Regulatory...more

UK Prudential Regulation Authority Publishes Final Policy on Pillar 2 Liquidity

by Shearman & Sterling LLP on

The U.K. Prudential Regulation Authority has published a Policy Statement on Pillar 2 liquidity, following consultations in May 2016 and July 2017. The Capital Requirements Directive gives national regulators discretion to...more

Financial Regulatory Developments Focus - February 2018 #4

by Shearman & Sterling LLP on

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

UK Prudential Regulator Consults on Guidance on the Eligibility of Guarantees as Unfunded Credit Protection for Capital...

by Shearman & Sterling LLP on

The Prudential Regulation Authority is consulting on its expectations regarding the eligibility of guarantees as unfunded credit protection for the purposes of a firm's Pillar 1 regulatory capital requirements. The PRA is...more

UK Regulators Highlight Expectations and Consult on Algorithmic Trading Supervision

by Shearman & Sterling LLP on

The UK Financial Conduct Authority and Prudential Regulation Authority have published co-ordinated papers on their expectations around firms' use of algorithmic trading strategies in wholesale markets. Firms have had to...more

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