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In our latest briefing, we summarise the Policy Statement’s key changes to enforcement, as well as their potential impacts. [read post]
13 Feb 2011, 11:46 am by James Hamilton
Menendez said that this disturbing information raises several pressing questions that the SEC should follow up on in coordination with other government agencies and private companies that are key players in the financial markets.He asks the SEC to report the steps it is considering taking in coordination with the Department of Justice, Department of Homeland Security, and state Attorneys General to conduct a prompt and thorough investigation of the breach in the network at Nasdaq to find… [read post]
10 Dec 2017, 6:28 am
Excessive risk-taking in the financial industry is thought to be one of the key contributor to the recent financial crisis (e.g., Diamond and Rajan, 2009; Financial Crisis Inquiry Commission, 2011; Freixas and Dewatripont, 2012). [read post]
11 Mar 2024, 4:29 am by Simon Lovegrove (UK)
The deadline for comments on the Discussion Paper is 14 March 2024. 14 March 2024 – On 14 December 2023, the European Banking Authority (EBA) issued two consultation papers which contain amendments to the regulatory technical standards (RTS) on the fundamental review of the trading book and on the standardised approach for counterparty credit risk. [read post]
21 Jun 2024, 6:34 am by Simon Lovegrove (UK)
The deadline for responses to CP24/9 is 27 June 2024. 28 June 2024 – On 28 March 2024, the Bank of England published a Consultation Paper on proposed changes to statements of policy and procedure following the Financial Services and Markets Act 2023. [read post]
12 Nov 2010, 10:34 am by Steve Bainbridge
The experts’ main point, that “ensuring that banks are funded with significantly more equity should be a key element of effective bank regulatory reform”, is supported by a recent paper that is prepared to be published in the Journal of Economic Perspectives. [read post]
8 Oct 2021, 8:55 pm by Simon Lovegrove (UK)
On 5 October 2021, the European Banking Authority (EBA) published its annual work programme for 2022, describing its activities and tasks as well as key strategic areas of work for next year. [read post]
14 Mar 2016, 6:44 am by Travis P. Nelson
  There are several key developments that will directly affect institutions and the directors, officers, employees, major shareholders, and vendors associated with them. [read post]
Many financial services firms have already executed their Brexit contingency plans and in this briefing partners from the Norton Rose Fulbright LLP financial services team will discuss what they have been seeing in three key sectors: banks, buy-side and sell-side. [read post]
15 Jun 2021, 8:55 pm by Simon Lovegrove (UK)
Key points in the statement include: The TPR came into effect following the end of the transition period. [read post]
2 Jun 2020, 8:55 pm by Simon Lovegrove (UK)
On 29 May 2020, the European Banking Authority (EBA) published a report on convergence of supervisory practices in 2019. [read post]
10 Mar 2017, 3:41 am by Peter Snowdon and Jack Prettejohn
The European Banking Authority (EBA) has published final guidelines on liquidity coverage ratio disclosure to complement the disclosure of liquidity risk management under Article 435 of the Capital Requirements Regulation (CRR). [read post]
1 Dec 2021, 8:40 pm by Simon Lovegrove (UK)
The report sets out good practices that have helped CMGs to enhance preparedness for the management and resolution of a cross-border financial crisis affecting a global systemically important bank (G-SIB) consistent with the FSB’s Key Attributes of Effective Resolution Regimes for Financial Institutions. [read post]
30 May 2007, 2:13 pm
For example, you will need to change the ownership and title on your bank accounts and brokerage accounts to the name of the trust. [read post]
15 Apr 2008, 11:53 am
TU argued that the FCRA was an impermissible attack onthe validity of the Key Bank loan through the FCRA and this factpersuaded the Magistrate Judge, the District Court Judge and the FirstCircuit. [read post]
On 17 August 2021, the European Banking Authority (EBA) published its Annual Report on resolution colleges for 2020. [read post]