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1 Nov 2023, 2:40 pm
The government also confirmed that it plans to bring forward its work on staking but portfolio management and provision of investment advice on cryptoassets will not be brought within the regulatory perimeter at this stage. [read post]
25 Oct 2023, 9:01 pm
That is why recognizing the key differences between the OIG Report1 and the Barr Report is so important.2 The Barr Report was essentially a self-assessment by the supervisory staff of the root causes of SVB’s failure, including deficiencies in risk management and the staff’s own supervision of SVB. [read post]
10 Oct 2023, 9:01 pm
While significantly bounded by disclosure and prudential regulations, this remains an animating feature and a significant part of the basic structure of free markets. [read post]
13 Apr 2023, 10:51 pm
The full media release can be accessed here and the full report can be found here. 8 ASIC consults on remaking ‘sunsetting’ class orders on IDPS and IDPS-like schemes On 28 March 2023, ASIC announced it was seeking feedback from operators of investor directed portfolio services (IDPS) on proposals to remake the following class orders: Class Order [CO 13/762] Investor directed portfolio services provided through a registered managed investment scheme;… [read post]
21 Mar 2023, 2:15 pm
In 2008, the extend and pretend was about bank's loan portfolios. [read post]
16 Mar 2023, 9:05 pm
Yet the FSB has dismissed too quickly the need to review whether the prudential rules that apply to banks are adversely affecting their market intermediation activities. [read post]
22 Jan 2023, 9:01 pm
These proposed changes would categorize funds that consider ESG factors in their investment process into three broad categories—“Integration Funds,” “ESG-Focused Funds” and “Impact Funds”—depending on how central ESG factors are to a fund’s strategy,[2] and would, among other requirements, (1) require additional specific disclosure regarding ESG strategies in both fund and adviser disclosures; (2) implement a… [read post]
19 Dec 2022, 2:28 pm
[2] The Net Worth requirements for Ginnie Mae single-family Issuers (“SF Issuers”) are identical to those for SF Applicants except that the percentage of the SF Issuers total GSE single-family outstanding servicing portfolio increases to 0.35% (35 basis points) [read post]
7 Aug 2022, 9:01 pm
” To that end, the Basel Principles are divided into two main parts: guidance for banks on the effective management of climate-related financial risks and guidance for prudential supervisors. [read post]
21 Apr 2022, 9:01 pm
“Scope 3 emissions” would be defined as “all indirect GHG emissions not otherwise included in a registrant’s Scope 2 emissions, which occur in the upstream and downstre [read post]
29 Dec 2021, 12:00 pm
**************************** In the wake of COP26 – and with the latest Intergovernmental Panel on Climate Change’s report [1] indicating the temperature could rise 1.5 degrees within the decade and the UN referring to the situation as a “code red for humanity” [2] – climate change risks continue to make headlines worldwide. [read post]
3 Dec 2021, 9:49 am
Whether they treat them as investments or decide to transact with bitcoin and its brethren may depend largely on whether they can find merchants that will accept them. . . . [read post]
3 Dec 2021, 9:49 am
Whether they treat them as investments or decide to transact with bitcoin and its brethren may depend largely on whether they can find merchants that will accept them. . . . [read post]
9 Jul 2021, 10:11 am
Reserve Bank Sees No ‘Policy Case’ for Digital Aussie Dollar Just YetZDNet – July 6, 2021 The Reserve Bank of Australia (RBA), alongside its Council of Financial Regulators partners — RBA, Treasury, the Australian Prudential Regulation Authority and the Australian Securities and Investments Commission — has been looking into a potential central bank digital currency (CBDC). [read post]
21 Apr 2021, 9:02 am
” It seems counterintuitive that the due diligence burden for an acquired portfolio of performing exposures might be more onerous than that for an acquired portfolio of non-performing exposures (and indeed for a “held for life” portfolio of non-performing exposures), but this does seem to be the effect of the amendment to Article 9. [read post]
31 Dec 2020, 2:06 pm
The five accepted retention methods are: vertical slice, originator share, random selection, first loss (portfolio), or first loss (asset-by-asset). [read post]
15 Jul 2020, 4:25 am
In a recent enforcement action, the SEC issued a stern reminder of the requirement under the Advisers Act that investment advisers must enact and follow written policies reasonably designed to prevent violations of the rules governing the use of material non-public information (“MNPI”), particularly in the case where an investment adviser maintains employee board representation on a public company in its investment portfolio. [read post]
1 Jul 2020, 3:44 am
The chapter should be read alongside with SS3/19, and with outputs of the PRA’s 2021 Biennial Exploratory Scenario (BES), the FCA’s requirements for solo-regulated firms including CP19/20 and requirements around scenario analysis in the Prudential sourcebook for investment firms (IFPRU), as well as the Network for Greening the Financial System (NGFS)’s publication on scenario analysis and reference scenarios. 3. [read post]
11 Feb 2020, 7:16 pm
Broadly, the submission discusses APRA’s approach to support the Fintech and Regtech sectors, and also the regulatory framework, including: APRA’s current licencing framework; Fintech and Regtech in prudentially regulated entities; current and proposed frameworks for digital wallets; APRA’s collection and use of data; and APRA’s approach to working with other regulators and industry. [read post]
7 Nov 2019, 6:51 pm
ASIC extends relief for portfolio holdings disclosure ASIC amended Class Order [CO 14/443] on 29 October 2019 in order to provide legal certainty about the first reporting day for portfolio holdings disclosure. [read post]
