Bank Prudential Regulation & Regulatory Capital US Federal Deposit Insurance Corporation Issues Proposed Rule to Facilitate Access to Deposits in Large Bank Failures On February 17, 2016, the US Federal Deposit Insurance...more
2/19/2016
/ Anti-Terrorism Financing ,
Central Counterparties ,
EU ,
Federal Reserve ,
Liquidation ,
Payment Systems ,
Regulation C ,
Regulation Technical Standards (RTS) ,
Senior Managers Insurers Regime (SMIR) ,
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
2/8/2016
/ Anti-Money Laundering ,
Capital Requirements ,
Cybersecurity ,
Deposit Insurance ,
Dodd-Frank ,
FDIC ,
Market Abuse ,
Memorandum of Understanding ,
Mexico ,
Prudential Standards ,
Rating Agencies ,
Regulation Technical Standards (RTS) ,
SEFs ,
South Africa
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
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)
The UK Government recently announced that it would introduce a new statutory duty of responsibility on senior managers in all financial institutions and repeal the presumption of responsibility that would have applied to...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
10/30/2015
/ 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
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
On August 25, 2015, the U.S. Financial Crimes Enforcement Network (“FinCEN”), the bureau of the Department of the Treasury with principal responsibility for implementing anti-money laundering rules and regulations, issued 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
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