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
11/21/2016
/ Anti-Money Laundering ,
Bank of England ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Credit Ratings ,
Cybersecurity ,
Department of Financial Services ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Financial Action Task Force ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
FinTech ,
FSMA ,
HM Treasury ,
Mary Jo White ,
MiFID II ,
OCC ,
Prudential Regulation Authority (PRA) ,
Retail Banks ,
Ring-Fencing ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Technical Standards ,
UK ,
Universal Proxy Cards
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 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
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
11/4/2015
/ Banking Sector ,
Confidential Information ,
Consumer Lenders ,
Crowdfunding ,
Federal Reserve ,
Financial Institutions ,
FSB ,
Global Systemically Important Banks (G-SIBs) ,
Prudential Regulation Authority (PRA) ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
UK ,
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
10/30/2015
/ Abu Dhabi Global Markets (ADGM) ,
Anti-Money Laundering ,
Anti-Terrorism Financing ,
Banking Sector ,
Capital Requirements ,
Consultation ,
Deposit Insurance ,
Enforcement Actions ,
EU ,
European Commission ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
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
10/21/2015
/ Banking Examinations ,
Banking Sector ,
Certifications ,
Depository Institutions ,
Federal Reserve ,
Financial Institutions ,
G-SII ,
MiFID II ,
Private Equity ,
Prudential Regulation Authority (PRA) ,
Ring-Fencing ,
Securities and Exchange Commission (SEC) ,
Senior Managers ,
TILA-RESPA Integrated Disclosure Rule (TRID) ,
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
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
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 a blow to the Lehman Chapter 11 estates, the United States Bankruptcy Court for the Southern District of New York held on September 16, 2015 that Intel Corporation’s Loss calculation resulting from a failed transaction...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
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