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Senator Hagan Will Work with SEC and Federal Banking Agencies on Proposed Risk Retention Regulations
13 Apr 2011, 5:53 am
In a letter last month to the SEC and the banking agencies, the Senators said that, under Section 941, the SEC and the federal banking agencies are directed to define qualified residential mortgage by taking into consideration underwriting and product features that historical loan performance data indicate result in a lower risk of default. [read post]
10 Jul 2017, 7:09 am
She complained to firm administrators about this activity, which she said “amounted to bank fraud, mail fraud, wire fraud, and/or fraud against shareholders. [read post]
11 Jun 2012, 12:20 pm
Because the clearing house is an essential part of the OTC derivatives infrastructure intended by the Dodd-Frank Act to decrease systemic risk, the DoJ is investigating whether the banks’ ownership of LCH.Clearnet gives them a competitive advantage. [read post]
11 Apr 2011, 3:21 pm
In the view of Chairman Bachus, the Volcker provisions collide with the European universal banking model that the EU is unlikely to abandon in the spirit of regulatory harmonization. [read post]
20 Nov 2010, 6:33 am
Does the law conflict with existing US Supreme Court precedent in Morrison v Australia National Bank? [read post]
23 Mar 2023, 8:50 am
SOX ultimately laid the groundwork for the Dodd-Frank Act years later, which established the highly successful SEC Whistleblower Program. [read post]
5 Apr 2011, 9:30 am
Treasury officials discussed new financial regulations with dozens of finance industry executives and lobbyists from banks, asset management firms and trade groups in February, government records show. [read post]
16 Apr 2013, 9:00 pm
Under Section 1022 of Dodd-Frank, the CFPB can demand data from banks and other supervised entities outside of the examination process. [read post]
25 Jun 2012, 1:40 pm
Bank Downgrades Trigger Call for Central ClearingFollowing the downgrade of 15 major banks’ credit ratings by Moody’s, a group of proprietary traders and hedge funds has renewed its call for mandatory central clearing for OTC derivatives. [read post]
25 Jun 2012, 1:40 pm
Bank Downgrades Trigger Call for Central ClearingFollowing the downgrade of 15 major banks’ credit ratings by Moody’s, a group of proprietary traders and hedge funds has renewed its call for mandatory central clearing for OTC derivatives. [read post]
17 May 2011, 6:10 am
The Senators urged the CFTC and the banking agencies to work closely with their international counterparts to ensure that they adopt as rigorous a regulatory regime for the over-the-counter swaps markets in their countries as the US will under Dodd-Frank. [read post]
26 Mar 2012, 2:21 pm
Reiss of Brooklyn has written Message in a Mortgage: What Dodd-Frank's 'Qualified Mortgage' Tells Us About Ourselves, Boston University Review of Banking and Financial Law (2012). [read post]
3 Sep 2017, 12:27 pm
Frank, Roger, and a bank were all trustees of mom’s revocable trust. [read post]
29 Oct 2010, 8:43 am
Section 619 of Dodd-Frank establishes the basic principle that a bank must not engage in proprietary trading or acquire or retain ownership interests in or sponsor a hedge fund or private equity fund. [read post]
21 Jul 2011, 4:33 pm
Related Posts: Dodd-Frank By The Numbers: A Volcker Rule Case Study Dodd-Frank By The Numbers: The Volcker Public Comments x-posted at The Conglomerate [read post]
20 Jul 2010, 10:21 pm
Nothing for the shadow banking system? [read post]
16 Jul 2011, 8:00 pm
The CFPB also stated that it will conduct periodic examinations for most of the banks that it regulates and implement a year-round supervision program for the largest and most complex banks in the country. [read post]
22 Feb 2011, 6:27 am
The proposed rule sets forth suggested definitions of two sets of terms that appear in the systemic risk provisions of Title I of the Dodd-Frank Act—“predominantly engaged in financial activities” and “significant” nonbank financial company and bank holding company. [read post]
24 Apr 2012, 10:48 am
- Posted by Janet Phipps Burkhead On April 13, 2012, the Consumer Financial Protection Bureau (“CFPB”) issued a bulletin advising of its expectations for oversight of business relationships with service providers, as defined in Section 1002(26) of the Dodd-Frank Act. [read post]
13 Jun 2017, 6:48 am
On June 7, 2017, the Federal Reserve Board authorized an extension of up to five (5) years for Deutsche Bank AG, SVB Financial Group, and UBS Group AG to comply with certain aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act (often referred to as the Volcker rule) relating to “investments in certain ‘illiquid funds[.]'” Press Release. [read post]
