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Searching Content indexed under Financial Services by James Schwartz ordered by Published Date Descending.
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1
Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 4
On June 21, 2019, the Securities and Exchange Commission ("SEC") released its final rules (the "Final Rules") stating margin requirements for security-based
United States
30 Jul 2019
2
Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 3
Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 3
United States
8 Jul 2019
3
Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 1
In a January 2019 interpretative letter, the Financial Industry Authority (FINRA) provided guidance to a registered broker-dealer as to the use of pre-inception index performance (PIP) data ...
United States
8 Mar 2019
4
Structured Thoughts: News For The Financial Services Community - August 10, 2018
On July 26, 2018, the Financial Conduct Authority (FCA) of the United Kingdom issued a Call for Input1 in relation to the Packaged Retail and Insurance-based Investment Products ...
UK
20 Aug 2018
5
The U.S. Treasury Report Recommendations On Capital Formation
The U.S. Department of the Treasury issued its second report (of four reports), titled "A Financial System that Creates Economic Opportunities, Capital Markets."
United States
18 Oct 2017
6
Federal Reserve Board Issues Final Rules Imposing Restrictions On Qualified Financial Contracts Of Global Systemically Important Banking Organizations
On September 12, 2017, the Board of Governors of the Federal Reserve System (the "Board") published in the Federal Register final rules (the "Final Rules") intended to reduce the potential risks...
United States
9 Oct 2017
7
Replacing Familiar Benchmarks: Preparations To Phase Out The IBORs
Long a mainstay of the financial world, the floating "IBOR" rates, based on the rates of actual or purported interbank offered loans, are now being swept slowly into the dustbin of history.
United States
7 Sep 2017
8
CFTC Issues Cross-Border Proposal
On October 11, 2016, the U.S. CFTC issued proposed rules to address certain issues related to the cross-border application of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
16 Nov 2016
9
The Federal Reserve's Proposed Rules For Financial Contracts Of Global Systemically Important Banking Organizations And ISDA's Resolution Stay Jurisdictional Modular Protocol
Last month the Board of Governors of the Federal Reserve System (the "Board") issued proposed new rules (the "Proposed Rules") intended to reduce the potential risks posed to the U.S. financial system by too-big-to-fail banks.
United States
10 Jul 2016
10
SEC Issues Business Conduct Rules For Security-Based Swap Entities
The SEC Conduct Rules are generally (though not entirely) consistent with certain of the business conduct rules that the Commodity Futures Trading Commission ("CFTC") finalized for the swaps market in 2012.
United States
18 May 2016
11
Structured Thoughts: News For The Financial Services Community, Volume 6, Issue 9
On 26 November 2015, the European Securities and Markets Authority ("ESMA") published its Final Report on its "Guidelines on complex debt instruments and structured deposits".
Worldwide
22 Dec 2015
12
Margin For Uncleared Swaps: A Critical Look At The CFTC And Prudential Regulators Proposals
Although the Proposals by their terms apply directly to "covered swap entities" (each, a "CSE"),8 the measures that they would require of CSEs would significantly change the economics of the uncleared swaps market not only for CSEs, but also for many of their financial counterparties.
United States
3 Mar 2015
13
A User’s Guide To The Volcker Rule
The legislation known as the Volcker Rule was enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act and codified in Section 13 of the Bank Holding Company Act.
United States
7 Jan 2014
14
A Regulatory Reform Glossary
Since the financial crisis, financial institutions have been required to address significant regulatory changes.
United States
5 Jan 2014
15
Structured Thoughts: Volume 4, Issue 13 October 15, 2013
In October 2013, FINRA issued its long-awaited report on broker-dealer conflicts of interest.
United States
23 Oct 2013
16
The CFTC’s Further No-Action Relief For Operators Of Securitization Vehicles That May Constitute Commodity Pools
In a letter dated March 29, 2013, the Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission, extended by three months, but subject to new and stringent conditions, no-action relief that the Division had previously given for operators of securitization vehicles possibly falling within the definition of "commodity pool" by reason of the SV’s trading in swaps.
United States
18 Apr 2013
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