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14 Mar 2019, 4:21 am
In recognition that crypto-assets do not reliably provide the standard functions of money and are unsafe to rely on as a medium of exchange or store of value, the Basel Committee’s statement sets out its prudential expectations related to banks’ exposures to crypto-assets and related services, for those jurisdictions that do not prohibit such exposures and services. [read post]
4 Mar 2019, 3:56 pm
From the February 27 to 28 meeting, the Basel Committee on Banking Supervision (BCBS) has published this press release with the outcome. [read post]
28 Feb 2019, 6:41 pm
(Pix Credit: No Attention Paid on Human Rights When Implementing Economic Reforms! [read post]
28 Feb 2019, 10:05 am
The FCA has also published two directions (FCA Transitonal Direction and FCA Prudential Transitional Direction) relating to the use of its temporary transitional power (TTP) which is further discussed in chapter 3 of PS19/5. [read post]
28 Feb 2019, 3:17 am
These would, in general, be different from those applicable to banks, but Member State national competent authorities (NCAs) could allow to continue applying banking requirements to certain firms, on a case by case basis, to avoid disrupting their business models. [read post]
22 Feb 2019, 11:16 am
Earlier this month, the Conference of State Bank Supervisors (CSBS) filed a brief opposing the OCC’s motion to dismiss [link to blog] the second lawsuit filed by CSBS to stop the OCC from issuing special purpose national bank (SPNB) charters to fintech companies. [read post]
14 Feb 2019, 4:44 am
In order to take advantage of the TPR firms and funds need to make a notification to the UK Financial Conduct Authority (FCA) or UK Prudential Regulation Authority (PRA) as appropriate before the end of 28 March 2019. [read post]
4 Feb 2019, 12:50 pm
” Haye suggested amending the Australian Banking Code, to ensure banks will work with customers who live in remote areas and those who have limited English proficiency. [read post]
1 Feb 2019, 12:00 am
– Regarding the Development of Banking Regulation in the European Union and the United States] The Basel Committee on Banking Supervision was founded in order to harmonize prudential regulation of banks internationally. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip… [read post]
29 Jan 2019, 7:44 am
The report focuses on the role that macro-prudential policy can play in preventing system-wide increases in NPLs and/or in strengthening banks’ resilience to such increases. [read post]
29 Jan 2019, 6:32 am
The Commission should work with the prudential regulators to ensure that bank capital requirements are adequate from a risk perspective, but also do not unduly restrict the availability of clearing services by bank FCMs;Abolish name give-up. [read post]
28 Jan 2019, 2:00 am
Beneficial Bank v. [read post]
22 Jan 2019, 3:38 pm
The EBA considers that, in the meantime, it is beneficial to issue these guidelines to ensure detection of high risk within banks before the transposition of the revised standards into the EU legislative framework. [read post]
18 Jan 2019, 7:22 am
The proposal would also add language to Section 1026 of Dodd-Frank which addresses the CFPB’s supervisory authority as to banks with $10 billion or less in total assets to provide that the CFPB (1) can include its examiners in examinations performed by a bank’s prudential regulator to assess not only the bank’s compliance with “Federal consumer financial law” but also MLA compliance, and (2) the requirement for the CFPB to notify… [read post]
18 Jan 2019, 6:00 am
Speakers: Tami Collingwood, Attorney, GCFC US Enterprise Commercial, Microsoft; Simon Des-Etages, Deputy General Counsel, Global Retail Banking & Wealth Management, HSBC; Ann Kappler, Senior Vice President, Deputy General Counsel & Head of External Affairs, Prudential Financial; Andy Yoo, Former Vice President & Associate General Counsel, Pearson. 1:30–2:30 p.m. [read post]
16 Jan 2019, 3:59 am
The Basel Committee will also consider whether to pursue work on: the ongoing efforts to reform benchmark rates considering the prudential and supervisory risks for banks; the Networking for Greening the Financial System; and the role of proportionality in the Basel framework. [read post]
15 Jan 2019, 6:51 pm
(Pix Credit U.S. [read post]
14 Jan 2019, 2:00 am
Bank Participants in U.S. [read post]
10 Jan 2019, 8:47 am
According to Levine’s BrokerCheck record, he previously worked with Prudential Securities, Merrill Lynch, and UBS (UBS). [read post]
