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28 May 2019, 10:50 am
For example, HM Treasury understands that only one individual out of the UK’s 43 building societies would be captured; investment firms who are currently subject to CRD IV rules will benefit from more proportionate remuneration rules under the new prudential regime for investment firms, the Investment Firms Review. [read post]
20 May 2019, 9:11 am
Take Payday Lenders and Arbitration as a Textbook Case: What is the Majority Position on Litigation Waiver and Who Got It Right? [read post]
17 May 2019, 8:02 am
The first principles are: robust prudential standards. [read post]
10 May 2019, 1:07 pm
Amegy Bank National Association. [read post]
10 May 2019, 12:59 pm
Amegy Bank National Association (hereinafter the "Carter Dispute"). [read post]
10 May 2019, 3:20 am
The Prudential Regulation Authority (PRA) asks UK Solvency II firms to complete a Remuneration Policy Statement to document remuneration policies and procedures. [read post]
5 May 2019, 4:58 am
Prudential Ins. [read post]
1 May 2019, 6:58 am
The ECB estimates that €559 million will be spent on the prudential supervision of banks. [read post]
1 May 2019, 4:10 am
The European Supervisory Authorities Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the banking, insurance and securities sectors (the Joint Guidelines) will be changing the way in which the Dutch Central Bank (De Nederlandsche Bank, DNB) handles applications for a declaration of no objection (verklaring van geen bezwaar, DNO). [read post]
26 Apr 2019, 1:37 am
The rules contained in the Regulation set capital requirements applying to banks with non-performing loans on their balance sheets. [read post]
25 Apr 2019, 11:59 am
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N.A. [read post]
25 Apr 2019, 2:14 am
On 24 April 2019, the Bank of England (BoE) published a report by its Independent Evaluation Office (IEO) evaluating the BoE’s approach to concurrent stress testing. [read post]
22 Apr 2019, 9:48 am
Reply 3 n.2 ("[A] party may submit evidence outside the pleadings when making a factual attack on a party's prudential or statutory standing. [read post]
19 Apr 2019, 6:17 am
The SLR is a global capital requirement for banks. [read post]
18 Apr 2019, 8:43 pm
“Really the best day since he got elected,” said Kellyanne Conway, the president’s counselor, about a day on which 400 pages dropped into the public’s lap describing relentless presidential misconduct and serial engagements between his campaign and a foreign actor. [read post]
18 Apr 2019, 8:40 am
This work has resulted in a financial system with individual institutions that are demonstrably more safe and more sound than before, and a much more resilient banking system overall. [read post]
17 Apr 2019, 5:19 am
Such goals include: ensuring that firms are adequately capitalised, and have sufficient liquidity, for the risks they are running or planning to take; ensuring that operational resilience is established in the prudential framework and through time becomes as embedded in the PRA’s supervisory approach as financial resilience is today; ensuring that banks and insurers have credible plans and capabilities in place to enable them to recover from financial stress events; and… [read post]
16 Apr 2019, 5:35 am
Mr Woods states that this means “continuing with the bread and butter of our supervisory role, looking over the shoulders of management to make sure that every bank and insurer has sufficient resources and is run in a prudent way. [read post]
15 Apr 2019, 2:57 pm
On April 8, the Prudential Regulation Authority (PRA) published a consultation paper (CP8/19) on the revision of the branch return for international banks. [read post]
12 Apr 2019, 8:25 am
According to FINRA Disciplinary actions for February 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Arizmendi, Jose Silber Bennett Financial, Inc TCFG Wealth Management, LLC Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC… [read post]
