Search for: "PRUDENTIAL FINANCIAL, INCORPORATED"
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14 Oct 2019, 6:54 am
In this context, the Commission notes what – if any – further measures could be taken to incorporate ESG risks into prudential regulation, without pre-empting the ongoing work stemming from earlier mandates. [read post]
15 Jun 2011, 11:02 pm
And still other topics, like macro-prudential regulation, are altogether new. [read post]
4 Mar 2018, 6:26 pm
Requiring virtual banks to be locally incorporated, since they primarily focus on Hong Kong retail clients. [read post]
17 Nov 2010, 3:25 pm
Companies formed before 1 January 2005 will have until 31 December 2010 to comply.Companies formed after 1 January 2005 must comply from their date of formation.To enable custodians to be in place by 1 January 2005, the BVI Financial Services Commission will consider applications to act as custodians from 1 July 2004.Those eligible to apply as an “authorised” custodian will be service providers licensed under any BVI financial services legislation, as well as bodies… [read post]
9 Jan 2010, 8:30 pm
Each business procedure should incorporate any legal requirement. [read post]
7 Dec 2010, 5:00 am
According to section 113 of Dodd-Frank Wall Street Reform and Consumer Protection Act, the Financial Stability Oversight Council may determine that a U.S. nonbank financial company shall be supervised by the Board of Governors and shall be subject to prudential standards, in accordance with this title, if the Council determines that material financial distress at the U.S. nonbank financial company, or the nature, scope, size, scale, concentration,… [read post]
30 May 2022, 9:04 pm
Private financial institutions have not widely embraced SPCPs. [read post]
18 Jul 2023, 9:01 pm
In finance, there are potential benefits of greater financial inclusion and enhanced user experience. [read post]
3 Mar 2022, 8:27 am
OFSI has so far issued: A licence for the FCA, FSCS, PRA and the Bank of England (and any other financial services authority) to engage with VTB Bank’s UK subsidiaries until 1 March 2023 for the purposes of their functions in relation to prudential supervision or protecting, maintaining, or enhancing the stability of the UK’s financial system. [read post]
14 Sep 2020, 1:28 am
Crypto-asset service providers would be obligated to have a registered office in the EU and become subject to common requirements for financial institutions, such as organisational and prudential rules. [read post]
25 Jul 2012, 11:26 am
However, FINMA ended in a hopeful note that viable alternatives can be found to allow compliance with both CFTC and FINMA prudential mandates, one possible alternative being the provisional registration of foreign branches of Swiss banks in which swap transactions with US persons are booked until a separate entity is set up or the registration of a US incorporated entity acting as information transfer agent for the bank.Chairman Gensler said that he has been in discussion with… [read post]
3 Sep 2020, 3:04 am
Pillar 3 will set out disclosure requirements for a DIHC that cover risk and governance disclosures in relation to its insurance group consistent with general financial reporting requirements and public reporting of GMCR, and complemented by private reporting to the IA on GIECA and ORSA. [read post]
30 Jan 2020, 6:42 am
(CRD#: 11217), Prudential Securities Incorporated (CRD#: 7471), Dean Witter Reynolds Inc. [read post]
23 May 2014, 12:38 am
A financial institution is required to file a report with the Department of Justice on cash transactions that exceed $10,000. [read post]
3 Feb 2010, 6:24 am
An earlier working paper issued by the Program, “Regulating Bankers’ Pay” by Lucian Bebchuk and Holger Spamann, advocated making prudential regulation tighter for financial firms whose compensation arrangements encourage risk-taking, as the FDIC is now proposing; this paper is available here. [read post]
1 Apr 2009, 5:35 am
Effective macro-prudential regulation requires enhancements to a range of supporting policies and infrastructure, including compensation practices that promote prudent risk taking, greater standardization of derivatives contracts and the use of risk-proofed central counterparties; and improved accounting standards that better recognize loan-loss provisions and dampen adverse dynamics associated with fair-value accounting. [read post]
23 May 2018, 8:25 am
(The VA has its own succession statute, but that statute expressly incorporates other authorities.) [read post]
7 Jan 2022, 8:55 pm
Financial Regulatory Working Group. [read post]
5 May 2020, 9:24 pm
Has the trustee utilised APRA’s Prudential Practice Guide CPG 233 Pandemic Planning? [read post]
7 Feb 2023, 4:24 am
This is because In-scope Stablecoins are more likely to be used to make payments and have linkages with the traditional financial system, and therefore pose greater monetary and financial stability risks. [read post]
