Regulators are increasing pressure on financial institutions to demonstrate that they are proactively addressing the transition away from the London Interbank Offered Rate (LIBOR). The New York State Department of Financial...more
2/13/2020
/ Asset Management ,
Banking Sector ,
Banks ,
Broker-Dealer ,
Financial Institutions ,
Financial Regulatory Reform ,
Financial Services Industry ,
Investment Adviser ,
Libor ,
NYDFS ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Transitional Arrangements
On September 3, 2014, the Board of Governors of the Federal Reserve System (the Board) jointly adopted, with certain federal banking regulators, re-proposed rules that will require registered swap dealers, security-based swap...more
9/25/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Dodd-Frank ,
Federal Reserve ,
IOSCO ,
Major Swap Participants ,
Margin Requirements ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swap Market ,
Swaps
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) recently addressed for the first time the CFTC’s definition of a “swap” as it applies to a specific insurance...more
5/29/2014
/ Banks ,
Beneficiaries ,
CFTC ,
Dodd-Frank ,
Hedges ,
Life Insurance ,
No-Action Letters ,
Pensions ,
Reinsurance ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps ,
Title VII
On December 10, 2013, the Federal Reserve Board (FRB), the Federal Deposit Insurance Corporation (FDIC), the Office of the Comptroller of the Currency (OCC), the Securities and Exchange Commission, and the Commodity Futures...more
1/15/2014
/ Antitrust Provisions ,
Bank Holding Company Act ,
Banks ,
CFTC ,
Collateralized Debt Obligations ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
OCC ,
Private Funds ,
Proprietary Trading ,
Securities and Exchange Commission (SEC) ,
Volcker Rule
On December 10, 2013, the Federal Reserve Board (FRB), the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Securities and Exchange Commission, and the Commodity Futures Trading...more
1/15/2014
/ Bank Holding Company Act ,
Banks ,
CFTC ,
Collateralized Debt Obligations ,
Dodd-Frank ,
Federal Reserve ,
OCC ,
Proprietary Trading ,
Securities and Exchange Commission (SEC) ,
Trust Preferred Securities ,
Volcker Rule
On December 10, 2013, the Federal Reserve Board (FRB), the Federal Deposit Insurance Corporation (FDIC), the Office of the Comptroller of the Currency (OCC), the Securities and Exchange Commission and the Commodity Futures...more
1/13/2014
/ Bank Holding Company Act ,
Banks ,
CFTC ,
Collateralized Debt Obligations ,
Compliance ,
Dodd-Frank ,
FDIC ,
Federal Reserve ,
OCC ,
Proprietary Trading ,
Trust Preferred Securities ,
Volcker Rule
On December 10, 2013, five federal agencies, including the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Securities and Exchange Commission, and the...more