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7 May 2024, 9:27 am
They lay down the information requirements that are necessary for a competent authority to carry out the prudential assessment of proposed acquisitions in issuers of ARTs that are not credit institutions. [read post]
15 Mar 2018, 7:16 am
Although Dodd said the $50 billion bank asset threshold for enhanced prudential standards should be raised, he questioned the wisdom of raising the threshold to $250 billion. [read post]
3 May 2013, 2:36 pm
Although the provision allows banks to continue dealing in swaps related to interest rates, foreign currency, and swaps permitted under the National Bank Act, they are prohibited from engaging in swaps related to commodities, equities, and credit.Rep. [read post]
13 Apr 2011, 11:35 am
This factor may have little to do with the assets of the firm and could instead rest on the firm's status as a node through which an important class of financial transactions flows.Congress could have made every non-bank financial firm with more than $50 billion in assets subject to prudential standards and consolidated supervision just like it did for banks, observed Gov. [read post]
7 Jun 2007, 10:25 pm
"); Prudential-Bache Sec., Inc. v. [read post]
1 May 2007, 11:32 pm
"); Prudential-Bache Sec., Inc. v. [read post]
12 Feb 2014, 4:42 pm
This report represents a joint effort on the part of supervisory agencies from ten countries: the Canadian Office of the Superintendent of Financial Institutions, the French Prudential Control Authority, the German Federal Financial Supervisory Authority, the Bank of Italy, the Japanese Financial Services Agency, the Netherlands Bank, the Bank of Spain, the Swiss Financial Market Supervisory Authority, the U.K. [read post]
29 Jul 2010, 6:35 am
That money — like $28 billion in 1 million death-benefit accounts managed by insurers — wasn't sitting in a bank. [read post]
23 Mar 2015, 3:29 am
Prudential Financial (3%, 3 yrs, cap of 20%, group of 20) 8. [read post]
13 Jul 2017, 4:30 pm
Noreika’s letter and that the CFPB had “consulted repeatedly” with OCC representatives and other prudential regulators regarding “prudential, market, or systematic objectives administered by such agencies” as required by Section 1022 of the Dodd-Frank Act (DFA). [read post]
15 May 2023, 11:29 am
Did You Invest With First Republic Bank? [read post]
24 Apr 2017, 4:00 am
Coco’s lender, Countrywide Bank, stated that it would not approve Ms. [read post]
22 Oct 2020, 8:50 pm
The methods that may be used for the purposes of prudential consolidation. [read post]
18 Mar 2009, 3:13 am
One alternative, separating prudential and conduct regulation, would be likely to create new problems of institutional cooperation, increase costs and make it less easy to represent UK views internationally. [read post]
1 Mar 2011, 5:01 am
The UK Treasury has now issued a further consultation paper (dated February 2011) discussing its proposals in greater detail.The paper sets out the UK Government's proposals for each of the three principal bodies involved in its "twin peaks" regulatory structure: the Financial Policy Committee of the Bank of England (FPC), the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) (which was previously referred to as the Consumer Protection… [read post]
8 Feb 2022, 4:39 am
Therefore, in order to effectively mitigate prudential risks and risks of regulatory arbitrage and to protect the level playing field having regard to banking and other groups already subject to consolidated supervision, the ESAs see a need to consider whether new bespoke consolidation rules should be developed for these new types of MAGs. [read post]
4 Mar 2011, 2:58 am
Can they apply for registration as CICs and thus get benefit of relaxed requirements of net owned funds, Prudential Norms, etc. [read post]
15 Mar 2012, 4:36 am
Complaints involving a small bank or a nonbank will be referred “to another federal agency with the authority to handle it,” which presumably means a prudential regulator for a small bank and the FTC for a nonbank. [read post]
25 Nov 2014, 10:38 am
A prudential supervisor wants to examine the safety and soundness of a bank. [read post]
24 Jan 2014, 7:50 am
., the Prudential Regulation Authority in the U.K. [read post]
