The U.K. Short Selling Regulations 2025 (“SSR 2025”) have been made. This paves the way for the U.K. to repeal and replace the regime implemented while the U.K. was in the European Union and then onshored into U.K. domestic...more
The issue of how firms should pay for investment research continues to be a controversial topic in the financial markets. The U.S. has maintained the approach it adopted before the mid-2000s, which is to permit investment...more
7/3/2023
/ Broker-Dealer ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
Investment Adviser ,
Market Research ,
MiFID II ,
Securities and Exchange Commission (SEC) ,
UK
On October 3, 2022, as lawmakers in the United States continue to debate which agencies should regulate crypto-based activities, the Financial Stability Oversight Council (FSOC) released its Report on Digital Asset Financial...more
11/3/2022
/ CFTC ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Digital Currency ,
FDIC ,
Financial Institutions ,
Financial Markets ,
FSOC ,
Regulatory Oversight ,
Regulatory Oversight Committee ,
Securities and Exchange Commission (SEC)
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/20/2018
/ Banking Sector ,
Competition ,
Cybersecurity ,
Derivatives ,
EU ,
Financial Markets ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more
11/21/2016
/ Anti-Money Laundering ,
Bank of England ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Credit Ratings ,
Cybersecurity ,
Department of Financial Services ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Financial Action Task Force ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
FinTech ,
FSMA ,
HM Treasury ,
Mary Jo White ,
MiFID II ,
OCC ,
Prudential Regulation Authority (PRA) ,
Retail Banks ,
Ring-Fencing ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Technical Standards ,
UK ,
Universal Proxy Cards
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
9/23/2015
/ Banking Sector ,
Corporate Governance ,
Derivatives ,
FDIC ,
Financial Institutions ,
Financial Markets ,
Investment Funds ,
Prudential Regulation Authority (PRA) ,
Regulatory Standards ,
Securities ,
UK
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
9/11/2015
/ Bank of America ,
Banking Sector ,
Capital Markets ,
Capital Requirements ,
Code of Conduct ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
G20 ,
MiFID II ,
Prudential Standards ,
Shadow Banking ,
Technical Standards ,
UCITS ,
UK
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
9/2/2015
/ Banking Sector ,
Capital Markets ,
Central Counterparties ,
CFTC ,
Corporate Governance ,
EU ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Financial Markets ,
Forex ,
IAIS ,
Liquidity ,
Market Participants ,
MiFID ,
NFA
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
8/26/2015
/ Administrative Appointments ,
Banking Sector ,
Broker-Dealer ,
Citigroup ,
Derivatives ,
EU ,
European Commission ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Hedge Funds ,
Investment Adviser ,
Leverage Ratio ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this issue:
- US Federal Banking Agencies Post Public Sections of Resolution Plans
- US Office of the Comptroller of the Currency Report Discusses Risks Facing National Banks and Federal Savings Associations...more
7/9/2015
/ Banking Sector ,
BSA/AML ,
Capital Markets ,
Capital Requirements ,
Credit Rating Agencies ,
Crowdfunding ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulatory Agenda ,
Regulatory Standards ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Supervision ,
UK Competition and Markets Authority (CMA)
In This Issue:
- US Financial Stability Oversight Council Releases Guidance Regarding Calculations of Stage 1 Threshold
- US Federal Agencies Issue Final Standards for Assessing Diversity Policies and Practices of...more
6/17/2015
/ Automotive Loans ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Credit Unions ,
Derivatives ,
Diversity ,
DMO ,
Dodd-Frank ,
Endangered Species Act (ESA) ,
EU ,
FDIC ,
Federal Reserve ,
FICC ,
Financial Institutions ,
Financial Markets ,
Foreign Banks ,
FSOC ,
FX Swaps ,
Non-Bank Lenders ,
Over The Counter Derivatives (OTC) ,
Securities and Exchange Commission (SEC) ,
Threshold Requirements ,
Volcker Rule
In This Issue:
- US Board of Governors of the Federal Reserve System Proposes Rule to Treat US Municipal Securities as Level 2B High-Quality Liquid Assets under the Liquidity Coverage Ratio
- US Financial...more
6/4/2015
/ Banking Sector ,
Capital Requirements ,
Central Counterparties ,
EU ,
Federal Reserve ,
Financial Institutions ,
Financial Markets ,
Investment Funds ,
Municipal Securities Issuers ,
Prudential Regulation Authority (PRA) ,
Regulatory Agencies ,
Regulatory Agenda ,
Stress Tests ,
Structured Financial Products ,
UCITS
In this issue:
- Federal Reserve Board Releases Results for Dodd-Frank Annual Stress Tests
- The US Federal Reserve Board Extends Comment Period for Global Systemically Important Banks Surcharge
-...more
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Derivatives
- Enforcement
- Financial Market Infrastructure
- Funds
- Recovery and Resolution
- People...more
12/24/2014
/ Banking Sector ,
Capital Requirements ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Federal Reserve ,
Financial Markets ,
Global Systemically Important Banks (G-SIBs) ,
JOBS Act ,
OCC ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Strategic Enforcement Plan ,
Truth in Lending Act (TILA) ,
Volcker Rule
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Derivatives
- Financial Market Infrastructure
- Financial Services
- People
- Events...more
12/9/2014
/ Administrative Appointments ,
Anti-Money Laundering ,
Asset-Backed Securities ,
Bank Secrecy Act ,
Banks ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Derivatives ,
European Commission ,
Examination Manual ,
FDIC ,
Federal Reserve ,
FFIEC ,
Financial Markets ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
In this issue:
- Bank Prudential Regulation & Regulatory Capital
- Derivatives
- Financial Market Infrastructure
- Financial Services
- Funds
- Recovery & Resolution
-...more
In this issue:
- G20 Leaders Summit
- Bank Prudential Regulation & Regulatory Capital
- Bank Structure
- Derivatives
- Enforcement
- Financial Market Infrastructure
-...more
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Credit Ratings
- Financial Services
- Shadow Banking
- Funds
- Financial Market...more
9/2/2014
/ Banks ,
CFTC ,
Credit Ratings ,
Derivatives ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Regulatory Reform ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Shadow Banking ,
UK
In this issue:
- Derivatives
- Regulatory Capital
- Bank Prudential Regulation
- Financial Market Infrastructure
- Financial Services
- Enforcement
- People
-...more
6/5/2014
/ Banks ,
Capital Markets ,
Capital Requirements ,
Compliance ,
Derivatives ,
EMIR ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Markets ,
Financial Regulatory Reform ,
Infrastructure ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK