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20 Jan 2011, 10:22 am
First, using a post-financial crisis evolutionary interpretation of "for prudential reasons" in Article 1410.1 of NAFTA, it seems possible, although not certain, that “for prudential reasons” could include capital controls. [read post]
6 Jan 2009, 1:20 am
Timetable The new prudential standards will be effective from 31 March 2009. [read post]
9 Aug 2021, 8:55 pm
However, there are 2 BTS where there are too many amendments and the FCA has therefore incorporated these into a MIFIDPRU annex. [read post]
6 Feb 2019, 1:07 pm
(CRD #8174) of Uniondale, NY and Prudential Securities Incorporated (CRD #7471) of New York, NY. [read post]
26 Mar 2021, 8:55 pm
UK-incorporated entities) need to have fully embedded their approaches to managing climate related financial risks by the end of 2021. [read post]
25 Sep 2014, 4:20 pm
For example, it created an enhanced prudential regulatory regime administered by the Federal Reserve for non-bank financial firms designated as “systemically important” by the Financial Stability Oversight Council (FSOC) and banks with more than $50 billion in assets. [read post]
28 Aug 2015, 12:06 pm
He was previously registered with the Gilford Securities Incorporated in New York. [read post]
8 Jul 2015, 5:06 pm
A comprehensive policy is likely to incorporate more than one approach, as some approaches are aimed at preventing failures and some at containing fallout when a failure occurs. [read post]
27 Nov 2007, 4:46 pm
The revised prudential standard on governance for general insurers (GPS 510) are a result of the Financial Sector Legislation Amendment (Simplifying Regulation and Review) Act 2007. [read post]
31 Jan 2023, 2:11 pm
On 31 January 2023, the Bank of England (BoE) published a letter sharing the thematic findings from the latest annual cycle of CBEST assessments conducted by the BoE, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) (collectively, the regulators) on participating banks, insurers, asset and investment managers and financial market infrastructure. [read post]
10 Apr 2010, 6:19 pm
APRA recently wrote to locally incorporated general insurers and authorised non-operating holding companies under the Insurance Act 1973 in relation to the application of the December 2009 Basel proposals on regulatory capital requirements to Australian general insurers. [read post]
23 May 2019, 2:00 pm
(CRD#: 8174), and Prudential Securities Incorporated (CRD#: 7471). [read post]
2 Apr 2024, 9:05 pm
The Australian Prudential Regulation Authority and the Bank of Canada have adopted and modified scenarios and predictions from the Network for Greening the Financial System, a consortium of central banks and supervisors. [read post]
4 Apr 2012, 7:42 am
The FSOC must find that subjecting a nonbank financial company to prudential standards is justified because material financial distress at the company, or the nature, scope, size, scale, concentration, interconnectedness, or mix of the activities of the company, could pose a threat to U.S. financial stability. [read post]
29 Mar 2023, 12:33 pm
Louis MO, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. [read post]
28 Jan 2020, 7:21 am
Before joining Morgan Stanley, he worked for Wells Fargo Advisors (CRD#: 19616), Prudential Securities Incorporated (CRD#: 7471), Salomon Smith Barney (CRD#: 7059), Lehman Brothers (CRD#: 7506), E.F. [read post]
26 Jul 2017, 7:12 pm
Following a consultation paper issued by the Securities and Futures Commission (SFC) in July 2015, the SFC, on 24 July 2017, published consultation conclusions and further consultation on the proposed capital and other prudential requirements for licensed corporations engaged in over-the-counter derivatives (OTCD) activities and other proposed changes to the Securities and Futures (Financial Resources) Rules (FRR). [read post]
15 Jul 2020, 12:59 am
This is likely to propose incorporating this additional guidance on safeguarding and prudential risk management. [read post]
16 Oct 2020, 8:55 pm
The Basel Committee does not currently have a view on potential prudential treatments or supervisory expectations related to the mitigation of climate-related financial risks. [read post]
28 Jun 2017, 11:08 am
This bill incorporates the financial regulatory reform vision of Sen. [read post]
