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29 Mar 2017, 1:37 am
In terms of consultation strategy the impact assessment states that the European Banking Authority will deliver a report to the Commission in June 2017 outlining their advice on a new prudential treatment for investment firms. [read post]
27 Mar 2017, 2:13 pm
In November 2016, the European Banking Authority (“EBA“) published a discussion paper on a new prudential framework, with the aim of submitting an opinion and report to the European Commission by June 30, 2017. [read post]
27 Mar 2017, 12:57 pm
Alexis indicated that he saw no need to advocate for the CFPB’s adoption of a matrix for assessing civil money penalties similar to those used by the prudential regulators because the factors are laid out in Dodd-Frank. [read post]
27 Mar 2017, 8:57 am
The U.S. federal prudential banking regulators themselves, including the Office of the Comptroller of the Currency (OCC), have expressed concern that the U.S. is falling behind in financial services innovation compared to other areas of the world. [read post]
24 Mar 2017, 10:05 am
This change is designed to replicate the ‘twin peaks’ structure common at a national level, with one market authority and one prudential regulator. [read post]
23 Mar 2017, 5:05 am
First, the relevant models must have been approved by the UK’s Prudential Regulation Authority. [read post]
16 Mar 2017, 3:37 am
Rather, the framework leverages existing prudential tools by informing or supplementing them. [read post]
13 Mar 2017, 9:09 am
The following implementing measures which supplement the Regulation on improving securities settlement in the EU and on central securities depositories (the CSDR) have been published in the Official Journal of the European Union: Commission Delegated Regulation (EU) 2017/389 of 11 November 2016 supplementing the CSDR as regards the parameters for the calculation of cash penalties for settlement fails and the operations of CSDs in host Member States; Commission Delegated Regulation (EU) 2017/390 of… [read post]
9 Mar 2017, 5:51 am
Under Article 459 CRR, the Commission may impose, for a period of one year, stricter requirements concerning the level of banks’ own funds, large exposures, or public disclosure, under specific conditions, in particular upon the recommendation or the opinion of the ESRB or the European Banking Authority. [read post]
7 Mar 2017, 9:44 am
The European Banking Authority (EBA) has published an opinion on transitional arrangements and credit risk adjustments to mitigate the effect of International Financial Reporting Standard 9 (IFRS 9) on prudential ratios. [read post]
7 Mar 2017, 8:36 am
Regulatory references The new rules on regulatory references will apply to certain large financial services firms (mainly UK banks, building societies and insurers). [read post]
1 Mar 2017, 1:48 pm
View Bank of England announces initial membership of Prudential Regulation Committee, 28 February 2017 [read post]
27 Feb 2017, 3:29 pm
The relief actions taken by the Prudential Regulators and ESAs are more limited in scope than those taken by the CFTC. [read post]
27 Feb 2017, 3:29 pm
The relief actions taken by the Prudential Regulators and ESAs are more limited in scope than those taken by the CFTC. [read post]
27 Feb 2017, 3:29 pm
The relief actions taken by the Prudential Regulators and ESAs are more limited in scope than those taken by the CFTC. [read post]
27 Feb 2017, 3:29 pm
The relief actions taken by the Prudential Regulators and ESAs are more limited in scope than those taken by the CFTC. [read post]
13 Feb 2017, 2:36 pm
On February 9, 2017, the Prudential Regulation Authority (“PRA“) issued a notice imposing fines of £17.75m and £8.925m on Bank of Tokyo-Mitsubishi UFJ (“BTMU“) and MUFG Securities EMEA (“MUFG“), respectively, for failing to be open and cooperative. [read post]
24 Jan 2017, 6:15 am
References in the financial services sector During 2015, the UK financial services regulators, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), consulted on proposed changes to the way affected financial services firms and insurers seek and provide references for candidates for certain regulated roles as part of a wider package of reforms which aim to improve the accountability in banks and insurers. [read post]
22 Jan 2017, 8:49 am
Critics have argued the “off-ramp” is only useful to the largest banks, because they are the only banks that would benefit from the exemption from enhanced prudential and other standards. [read post]
4 Jan 2017, 3:55 pm
www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers. [read post]
