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5 Jun 2024, 8:20 am
Finally, on the settlement side the key consideration over the coming months will be whether the EU will follow the United States (US) in its recent move to shorten the settlement cycle for securities from T+2 to T+1. [read post]
4 Jun 2024, 9:19 am
On 3 June 2024, the European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA) issued a discussion paper on the potential review of the investment firms’ prudential framework. [read post]
24 May 2024, 4:11 am
The consultation closes on 29 May 2024. 30 May 2024 – On 30 April 2024, the Prudential Regulation Authority (PRA) published an Occasional Consultation Paper, CP6/24, which sets out its proposals to make minor amendments to PRA rules and to add a new rule to the Policyholder Protection Part of the PRA Rulebook. [read post]
24 May 2024, 12:37 am
These principles (the Principles) are: Safety, security and robustness. [read post]
22 May 2024, 1:02 pm
Industry representatives raised a number of concerns with the rule, including conflicts between the proposed rule and state data breach laws and a lack of consistency with the safeguarding standards promulgated by other federal prudential regulators. [read post]
20 May 2024, 8:03 pm
ASIC submitted the Notification Clause was unfair within the meaning of ss 12BF(1)(a) and 12BG(1) of the Australian Securities and Investments Commission Act 2001 (Cth) (ASIC Act) on the basis that it: imposed an unclear disclosure obligation on the insured; suggested that Auto & General had a broader right to refuse or reduce claims than permitted under the ASIC Act; and was liable to mislead or confuse insureds as to their rights and obligations under the contract. [read post]
15 May 2024, 9:05 pm
., reliable collateral) to secure members’ obligations to the clearinghouse. [read post]
13 May 2024, 12:06 pm
Article 124 of CRR sets out the requirements for the assignment of risk weights for exposures secured by mortgages on immovable property, i.e., both for residential and commercial property lending. [read post]
10 May 2024, 2:54 am
Delegated Regulation 2024/857 enters into force on the twentieth day following its publication on the OJ (14 May 2024). 15 May 2024 – On 30 April 2024, the European Securities and Markets Authority (ESMA) published the results of the annual transparency calculations for non-equity instruments, bond liquidity data and quarterly systematic internaliser (SI) calculations under MiFID II and MiFIR. [read post]
2 May 2024, 9:56 am
Among other things, the new rules concerning prudential requirements for banks and very large investment firms will introduce an output floor to ensure that entities using internal models to calculate their risk weights do not have significantly lower capital buffers than entities using standardised approaches. [read post]
26 Apr 2024, 7:37 am
EU 29 April 2024 – On 29 January 2024, the European Securities and Markets Authority launched public consultations on two sets of guidelines it is mandated to develop for the purpose of the application of the Regulation on Markets in Crypto-Assets. [read post]
23 Apr 2024, 1:49 am
Mr Rathi also highlighted the FCA’s continued joint work with the Bank of England (BoE) and the Prudential Regulation Authority on the role of critical third parties and AI. [read post]
22 Apr 2024, 9:13 am
Mr Rathi also highlighted the FCA’s continued joint work with the Bank of England (BoE) and the Prudential Regulation Authority on the role of critical third parties and AI. [read post]
16 Apr 2024, 1:32 pm
FINRA BrokerCheck Report – Paul Trimber According to this FINRA BrokerCheck report, Paul Trimber was affiliated with the following firms during his career in the securities industry: 07/01/2003 – 02/29/2024, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ALEXANDRIA, VA,B, 08/13/1996 – 07/01/2003, PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471), NEW YORK, NY The FINRA BrokerCheck tool is a free online tool that allows… [read post]
15 Apr 2024, 9:01 pm
While Custodia is subject to state prudential regulation, it is not FDIC-insured or subject to federal prudential regulation and does not have a holding company subject to Federal Reserve oversight. [read post]
7 Apr 2024, 2:07 pm
The FLETF is headed up by the Department of Homeland Security, including representation from Customs. [read post]
3 Apr 2024, 9:03 pm
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners. [read post]
15 Feb 2024, 9:08 pm
APRA was also active in November, releasing quarterly reports on statistics on superannuation products and private health insurance, and publishing a number of amendments and proposed amendments to prudential standards, reporting standards and FAQs. [read post]
15 Feb 2024, 9:01 pm
The challenges to financial stability that AI may pose in the future will require new thinking on system-wide or macro-prudential policy interventions. [read post]
7 Feb 2024, 5:55 am
There is another reason — one based on prudential considerations — for Biden to hold off on invoking the Insurrection Act unless doing so is absolutely necessary. [read post]
