Search for: "Prudential Bank "
Results 1141 - 1160
of 1,594
Sorted by Relevance
|
Sort by Date
23 Jun 2017, 9:30 am
Some of the key points in CP17/17 are: senior managers and approved persons – benchmark administrators – the senior managers’ regime (SMR) currently applies to banks, building societies, credit unions and investment firms. [read post]
17 May 2019, 8:02 am
The first principles are: robust prudential standards. [read post]
2 Dec 2009, 5:42 pm
According to Treasury, the lack of a federal regulatory regime and resolution authority for large systemic non-bank financial institutions contributed to the financial crisis and, unless addressed with legislation, will constrain a federal response to future crises. [read post]
21 Mar 2023, 2:15 pm
But the combination of cravenly prudential regulation and functionally uncapped deposit insurance is really toxic. [read post]
23 May 2014, 12:38 am
In March 2012, Bordbar is accused of making a series of transactions under $10,000 through a bank to avoid having the bank file reports of the transaction. [read post]
2 Jan 2019, 8:14 am
“We’ve gone through situations before where it’s absolutely normal for the secretary of Treasury to reach out to the private sector,” said Quincy Krosby, a chief market strategist at Prudential Financial, who also served several stints in the government earlier in her career. [read post]
5 Jun 2024, 8:20 am
Prudential regulation and Banking Union The co-legislators managed to complete the EU adoption of the Basel 3 reform before the election recess, by agreeing in trilogue the amendments to the Capital Requirements Regulation and Directive (CRR and CRD), but the regulatory work will continue over the new legislative cycle. [read post]
2 Jul 2019, 6:32 pm
APRA releases updated information on information security On 25 June 2019 APRA published an updated Prudential Practice Guide CPG 234 Information Security to coincide with the cross-industry standard CPS 234 Information Security, which came into force on 1 July 2019. [read post]
16 Sep 2009, 1:43 am
However, these measures should at least build into the prudential supervisory process more trigger points when regulators must stop and assess a particular bank's condition and, if necessary, require remedial actions to be taken before a crisis occurs. [read post]
30 Nov 2006, 9:32 am
Thus, the SEC is urged to apply more bank-like prudential regulation to broker-dealers and investment advisers.On federalism, Congress is asked to improve enforcement coordination between the SEC and state securities regulators. [read post]
9 Nov 2021, 7:28 pm
The day culminated in a session with a panel of chief executives – Calvin Choi of AMTD Group, Helen Wong of OCBC Bank, Mike Wells of Prudential and Piyush Gupta of DBS – who offered their thoughts on the global trends in Web 3.0 and how it might transform financial services. [read post]
10 Jul 2012, 1:22 am
If that is right, it can only be grist to the mill of those who believe that regulators don't fully appreciate the difference between insurance and banking, and that the problems this creates will only get worse when prudential insurance regulation moves over to the Bank of England.The FSA will be required to consult on these proposals before they are implemented in rules and guidance. [read post]
9 Nov 2021, 7:28 pm
The day culminated in a session with a panel of chief executives – Calvin Choi of AMTD Group, Helen Wong of OCBC Bank, Mike Wells of Prudential and Piyush Gupta of DBS – who offered their thoughts on the global trends in Web 3.0 and how it might transform financial services. [read post]
6 Sep 2021, 8:43 am
It is essential that the boards of FCA authorised firms can show how they have addressed the risks that unregulated activities in relation to digital tokens can pose to those firms: to both their conduct, and their prudential soundness. [read post]
14 Jul 2020, 8:31 am
Specifically, it supports the European Central Bank (ECB) being granted independent powers to revoke the banking licence of EU institutions acting in breach of AML/CTF laws, regardless of consideration by local AML/CTF supervisory bodies. [read post]
15 Nov 2011, 5:59 pm
While the concept of leverage ratios is familiar in the banking context, she observed, in the fund management arena this has not been an area subject either to definition or to regulation. [read post]
2 Apr 2020, 7:48 pm
We recommend asset managers, foreign banks, funds and other offshore institutions start weighing up their options and which regime is best for them. [read post]
The Hydraulic Effect of Loper Bright Enterprises in Consumer Finance: More Regulation By Enforcement
10 Jul 2024, 8:00 pm
For prudential banking regulators there is sometimes the ability to use UDAAP, but even when there isn't, there is still broad discretion regarding safety-and-soundness tools in the supervisory process. [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]
20 Aug 2023, 4:04 pm
Meanwhile APRA has revamped its prudential regulation, finalising the long awaited operating risk prudential standard CPS 230, publishing investment governance guidance and committing to an industry wide assessment of the cyber capability of the financial services regime. [read post]
