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6 Dec 2023, 2:35 am
This sets out the minimum standards which the HKMA expects locally incorporated authorized institutions to adopt in respect of their internal corporate governance procedures. [read post]
17 Oct 2019, 8:58 am
Separately, the Prudential Regulation Authority (PRA) had published Supervisory Statement 3/19 in April 2019, setting out its expectations on managing the financial risks from climate change for insurers, banks, building societies and PRA-designated investment firms. [read post]
12 Sep 2023, 10:30 pm
How liquidity lines contribute to global financial stability In jurisdictions that ensure capital mobility, financial actors may transact in foreign units of accounts. [read post]
7 May 2023, 9:01 pm
Some of the changes reflected in the Proposals would seek to eliminate elements of the2019 Nonbank Designation Guidance that incorporated and addressed certain holdingsof the MetLife FSOC decision, under which the federal District Court in D.C. ruled toinvalidate the FSOC’s designation of MetLife. [read post]
7 Sep 2009, 10:14 am
Importantly, the finance officers called on the FSB to give the G-20 leaders specific proposals for developing this framework, which could be incorporated into supervisory measures, and closely monitoring its delivery. [read post]
3 Sep 2019, 11:35 pm
This move was recommended in the final report of the Financial Services Royal Commission. [read post]
29 May 2024, 9:01 pm
But in Consumer Financial Protection Bureau (CFPB) v. [read post]
10 Jul 2011, 9:00 am
A few of the suggestions were incorporated into the final rule. [read post]
22 Aug 2018, 3:52 am
HM Treasury is transferring responsibility for all BTS from the ESAs to the UK regulators, the basis of this exercise is set out in the draft Financial Regulators’ Powers (Technical Standards) (Amendment etc) (EU Exit) Regulations 2018. [read post]
1 May 2024, 2:39 am
Incorporating a new rule which is similar to the cooperation requirement outlined in PRIN 11 (Relations with regulators). [read post]
1 May 2024, 2:39 am
Incorporating a new rule which is similar to the cooperation requirement outlined in PRIN 11 (Relations with regulators). [read post]
11 Jan 2010, 4:36 pm
The reverse stress testing mandate incorporates the concept of proportionately. [read post]
12 Jun 2023, 9:05 pm
In Hong Kong, accountability is pursued though several long-standing provisions of the bank regulatory framework, and the prudential rulebook incorporates some measures that characterize IARs. [read post]
10 Mar 2014, 9:01 pm
Gox, which is incorporated in Japan, has filed for insolvency protection there as well as in the United States. [read post]
6 Nov 2019, 3:05 am
Financial services firms authorised by either the Prudential Regulation Authority or Financial Conduct Authority must comply with rules specifying the systems and controls that they must have in place to handle whistleblowing issues. [read post]
28 Feb 2019, 6:41 pm
While economic reform policies that could negatively affect human rights are more commonly found in the context of economic and financial crisis responses, these reforms have also been observed in less challenging economic times. [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]
5 May 2016, 8:25 am
The WGMR is a collective effort by the Committee on Payment and Settlement Systems and the Committee on the Global Financial Systems. [3] The U.S. prudential banking regulators issued final margining rules for non-centrally cleared derivatives in October 2015, click here to access the rules. [read post]
5 May 2016, 8:25 am
The WGMR is a collective effort by the Committee on Payment and Settlement Systems and the Committee on the Global Financial Systems. [3] The U.S. prudential banking regulators issued final margining rules for non-centrally cleared derivatives in October 2015, click here to access the rules. [read post]
15 Nov 2018, 6:21 am
Christopher Scalese started in the financial services industry in New York, New York with Prudential Securities Incorporated from September 10, 1997 until June 19, 1998, FINRA notes. [read post]
