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27 Jun 2023, 9:45 am
A transitional prudential regime for crypto assets and on amendments to enhance banks’ management of ESG risks. [read post]
16 Jan 2020, 6:35 am
Joint BoE and FCA letter to senior managers of UK banks and insurers with regards to LIBOR transition. [read post]
16 Jan 2020, 6:35 am
Joint BoE and FCA letter to senior managers of UK banks and insurers with regards to LIBOR transition. [read post]
5 Aug 2010, 5:14 pm
First, the Act sought to regulate the shadow banking system and OTC derivatives. [read post]
30 Oct 2018, 4:42 am
On 29 October 2018, the Cryptoassets Taskforce (the Taskforce), comprising of the FCA, HM Treasury and the Bank of England (BoE), published its final report on the UK’s policy and regulatory approach to cryptoassets (the Report). [read post]
7 Feb 2022, 11:00 pm
Financial Sector Conduct Authority (FSCA) General Notice 3 of 2020 exempts the following persons from the requirements of the Joint Standard probably because these entities are regulated in this regard by their own laws: authorised financial services providers, other than authorised financial service providers that are also eligible financial institutions or managers of collective investment schemes; credit rating agencies; friendly societies; pension fund organisations; financial product… [read post]
23 Oct 2020, 1:44 am
Summary of the measures in the Bill In summary, the measures in the Bill are: Enhance the UK’s world-leading prudential standards and promote financial stability Implementing the remaining Basel 3 standards: This measure will enable updates to the prudential regulatory regime to implement the remaining Basel 3 banking standards. [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]
3 Mar 2023, 1:16 am
It also provides the European Banking Authority (EBA) with a mandate to assess whether there should be a dedicated prudential treatment of ESG risk-related exposures. [read post]
19 Apr 2019, 6:17 am
The SLR is a global capital requirement for banks. [read post]
29 Jul 2010, 6:00 am
"And unlike a bank account, this money isn't protected by the FDIC, nor is it even held in a separate, specific account. [read post]
17 Sep 2019, 7:26 am
Noting that CRA regulations have historically been uniform across the three prudential regulators, the agencies request that the same be true for the forthcoming regulations. [read post]
16 Jul 2014, 4:30 pm
These include: Top Ten Areas Where Dodd-Frank Made Progress Top Ten Solutions for Regulators to Improve Upon Dodd-Frank Top Ten Solutions for Congress to Improve Upon Dodd-Frank Key recommendations for congressional action include raising the SIFI threshold for banks from $50 to $250 billion to focus on financial institutions that pose the greatest risks, creating new bankruptcy authority to help better deal with the “too-big-to-fail” problem and giving… [read post]
14 Sep 2020, 1:22 am
On 10 September 2020, the European Banking Authority (EBA) published its response to the European Commission’s (EC’s) call for advice on the future of the EU anti-money laundering (AML) and counter-terrorist financing (CTF) framework. [read post]
Chairman Bachus Cautions that Dodd-Frank Derivatives Regulations Could Engender Regulatory Arbitrage
3 Aug 2011, 5:17 pm
Specifically, there is no concrete evidence that international regulators will, in fact, adopt the more controversial provisions in Title VII of Dodd-Frank, such as the Section 716 swap push-out rule requiring banks to divest risky derivatives activities. [read post]
10 Aug 2023, 8:14 am
On 10 August 2023, the European Banking Authority (EBA) published a report on the functioning of anti-money laundering and countering the financing of terrorism (AML/CFT) colleges in 2022. [read post]
19 Jul 2011, 8:03 am
The Moran bill would not impact the Bureau’s substantive authority, but only change its governance and funding structures and make it more accountable to the prudential regulators. [read post]
Chairman Bachus Cautions that Dodd-Frank Derivatives Regulations Could Engender Regulatory Arbitrage
3 Aug 2011, 5:17 pm
Specifically, there is no concrete evidence that international regulators will, in fact, adopt the more controversial provisions in Title VII of Dodd-Frank, such as the Section 716 swap push-out rule requiring banks to divest risky derivatives activities. [read post]
19 Oct 2023, 8:33 am
On 18 October 2023, the Bank of England (BoE) published a speech delivered by Elisabeth Stheeman, external member of the Financial Policy Committee (FPC), at the London School of Economics. [read post]
10 Dec 2009, 1:40 am
In other words, SEBI places almost absolute faith and unqualified reliance on the ability of an FII to carry out the basic regulatory and prudential oversight. [read post]
