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30 Dec 2020, 9:25 am
Pruco Securities to pay $18 Million for Overcharges The SEC Sanctions Pruco Securities for Alleged Breach of Fiduciary Duty The Securities and Exchange Commission this week reportedly charged Pruco Securities, the broker/dealer and RIA owned by Prudential, with violations in the firm’s wrap fee programs. [read post]
18 Dec 2020, 3:11 am
This is done by broadly aligning NPE rules with international standards and ensuring their prudential soundness, while at the same time allowing originating banks to use risk-sensitive modelling practices. [read post]
14 Dec 2020, 8:50 pm
On 11 December 2020, the Bank of England (BoE) published its latest Financial Stability Report. [read post]
11 Dec 2020, 8:50 pm
In CP22/20 the PRA sets out its proposed approach to designating entities within certain UK banking consolidation groups as responsible for ensuring that consolidated prudential requirements are met during the transitional period. [read post]
4 Dec 2020, 8:55 pm
The purpose of the statutory instrument is to implement into UK law those elements of the Bank Recovery and Resolution Directive II (BRRD II) that come into effect before the end of the transition period. [read post]
1 Dec 2020, 3:29 am
On 30 November 2020, the Dutch Central Bank (De Nederlandsche Bank, DNB) issued a press release in which the regulator indicates that outsourcing contracts between supervised institutions and a large IT supplier structurally fails to comply with applicable laws and regulations. [read post]
30 Nov 2020, 8:55 pm
On 27 November 2020, the European Central Bank (ECB) published its final and amended guide on climate-related and environmental risks following a public consultation. [read post]
17 Nov 2020, 8:50 pm
To this end, the EBA is mandated to monitor and assess market developments as well as to identify trends, potential risks and vulnerabilities stemming from the micro-prudential level. [read post]
17 Nov 2020, 8:50 pm
The Dear CFO letter follows an earlier opinion from the European Banking Authority on the prudential treatment of legacy instruments, and communicates the PRA’s position and asks CFOs to take certain action to address issues arising from the planned treatment of their firm’s affected legacy instruments. [read post]
17 Nov 2020, 6:38 am
It is the primary global standard setter for the prudential regulation of banks and provides a forum for cooperation on banking supervisory matters. [read post]
16 Nov 2020, 8:55 pm
On 12 November 2020, the PRA published the Mansion House speech by Sam Woods (Deputy Governor for Prudential Regulation and Chief Executive Officer, PRA) covering the PRA’s intention to implement a strong and simple regime for regulating small UK banks and building societies. [read post]
13 Nov 2020, 8:50 pm
The update provides that the prudential treatment of certain software assets was revised by Regulation (EU) 2019/876, in order to further support the transition towards a more digitised banking sector. [read post]
13 Nov 2020, 6:14 am
The report recommends that stress testing be conducted under various climate scenarios, and consideration should be given to how to use existing frameworks by prudential regulators and market regulators. [read post]
12 Nov 2020, 10:10 am
This is subject to reporting conditions determined by the Reserve Bank. [read post]
9 Nov 2020, 11:50 am
On November 10, the Senate Banking Committee will hold a hearing, “Oversight of Financial Regulators. [read post]
5 Nov 2020, 8:55 pm
On 4 November 2020, the European Banking Authority (EBA) issued an opinion setting out how prudential supervisors should consider money laundering and terrorist financing risks in the context of the Supervisory Review and Evaluation Process (SREP). [read post]
5 Nov 2020, 8:55 pm
On 3 November 2020, the European Banking Authority (EBA) issued its second report on how firms have implemented the EBA guidelines on product oversight and governance arrangements (the Guidelines). [read post]
5 Nov 2020, 3:40 pm
The Annual Report provides insights in the rearrangement of the regulator’s priorities and prudential framework due to the impact of COVID-19, with a focus on operational and financial resilience, contingency planning and the suspension of its policy and supervisory agenda, and the insurance of new banking and insurance licences. [read post]
4 Nov 2020, 8:55 pm
On 3 November 2020, the European Banking Authority (EBA) issued a discussion paper on the management and supervision of environmental, social and governance (ESG) risks for credit institutions and investment firms. [read post]
3 Nov 2020, 9:06 pm
While regulators are exploring ways to embed climate change into the prudential supervision process, climate change disclosure continues to be seen as a foundational step. [read post]
