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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]
16 Apr 2024, 1:32 pm
FINRA BrokerCheck Report – Paul Trimber According to this FINRA BrokerCheck report, Paul Trimber was affiliated with the following firms during his career in the securities industry: 07/01/2003 – 02/29/2024, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ALEXANDRIA, VA,B, 08/13/1996 – 07/01/2003, PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471), NEW YORK, NY The FINRA BrokerCheck tool is a free online tool that allows… [read post]
3 Apr 2024, 9:03 pm
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners. [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]
8 Feb 2024, 3:30 am
After graduating from Rutgers University, I worked as an account manager in group insurance at Prudential Financial for 9 years. [read post]
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]
29 Nov 2023, 9:33 am
These changes would be incorporated into Chapter 13 of the Interim Prudential Sourcebook for Business, which contains the existing prudential regime for PIFs. [read post]
25 Oct 2023, 9:01 pm
Thus, flattening regulatory tailoring would produce no benefits in terms of increased financial stability, but would produce significant costs in terms of a less diverse, more concentrated banking system. [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]
9 Aug 2023, 9:01 pm
Although the stated intent of the G-SIB Proposal is to improve the “precision of the G-SIB surcharge,” the changes to the calculation of the cross-jurisdictional activity indicator to include derivatives exposures would cause nine banking organizations or their intermediate holding companies to shift into Category II from Categories III and IV for purposes of the enhanced prudential standards. [read post]
18 Jul 2023, 9:01 pm
In finance, there are potential benefits of greater financial inclusion and enhanced user experience. [read post]
17 Jul 2023, 9:02 am
Both sets of recommendations are addressed to financial regulatory, supervisory and oversight authorities. [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]
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]
13 Apr 2023, 10:51 pm
The month March was a busy month which saw some significant developments in the financial services sector. [read post]
29 Mar 2023, 12:33 pm
Louis MO, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. [read post]
29 Mar 2023, 7:47 am
On 29 March 2023, the Bank of England (BoE) and the Prudential Regulation Authority (PRA) published the thematic findings from the 2022 cyber stress test (CST22). [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]
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]
