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1
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
2
Agencies Propose Simplification Of Capital Rules For Community Banks
On November 21, 2018, the federal banking agencies issued a proposal to simplify the regulatory capital requirements for qualifying community banking organizations, generally those with less than $10 billion in assets.
United States
6 Dec 2018
3
Agencies Release Interagency Statement On Sharing Bank Secrecy Act Resources
On October 3, 2018, the five federal agencies tasked with the supervision, examination, and enforcement of BSA and anti-money laundering requirements for banks, issued an interagency statement on sharing BSA resources.
United States
12 Oct 2018
4
FiINRA Delays Required Collateralization Of TBAS And Other MBS Forwards
When the amendments to Rule 4210 are implemented, they will require the collateralization of many forward transactions involving mortgage-backed securities ("MBS").
United States
19 Oct 2017
5
Treasury Report, Part II: Regulation Of The Capital Markets
The U.S. Department of the Treasury ("Treasury Department" or "Treasury") issued its second report (of four reports), titled "A Financial System that Creates Economic Opportunities, Capital Markets" (the "Report").
United States
18 Oct 2017
6
Financial Services Report – Fall 2016
Read on for news about the CFPB's largest assessment of civil money penalties, the Supreme Court's decision to hear the latest effort of municipalities to hold mortgage lenders responsible for lost tax revenue due to foreclosures, and the latest on the Privacy Shield.
United States
22 Sep 2016
7
The Financial Choice Act: Implications For The U.S. Securities Legal Framework
On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the "FSC") formally released H.R. 5983, the "Financial CHOICE Act".
United States
20 Sep 2016
8
Federal Banking Agencies Issue Recommendations As Part Of Their Section 620 Report To Solidify The Safety And Soundness Of The U.S. Financial System
In accordance with Section 620 of the Dodd-Frank Act, the Federal Banking Agencies are required to conduct a study of the activities and investments that banking entities may engage in under state and federal law.
United States
13 Sep 2016
9
Capital Markets And Securities FAQs – 11th Edition
Sometimes the water is deep and can get choppy. You may find that the 11th edition of our Capital Markets and Securities FAQs can help you get to firm ground.
United States
26 Aug 2016
10
The (Heart)Beat Has Sounded: The World Economic Forum Places Blockchain Front And Center
Blockchain and smart contracts have moved out of the wings and are the new stars of the finance industry, according to the World Economic Forum's report released on Friday...
United States
24 Aug 2016
11
Structured Thoughts: Volume 7, Issue 8 August 11, 2016
The U.K.'s recent referendum to withdraw from the European Union has affected virtually all segments of the financial industry. The structured products area is no exception.
United States
12 Aug 2016
12
China Plans To Further Open Domestic Private Securities Investment Fund Management Business To Foreign-Owned Managers
On June 30, 2016, the Asset Management Association of China ("AMAC") released the Q&A Regarding Registration and Filing of Private Funds (No. 10) ("Q&A No. 10")...
China
9 Aug 2016
13
Structured Thoughts: News For The Financial Services Community, Volume 7, Issue 7
As readers of this publication know, in order to address the expected new U.S. regulatory capital requirements, a number of U.S. bank holding companies have been creating new finance company subsidiaries.
United States
12 Jul 2016
14
Structured Thoughts: News For The Financial Services Community, Volume 7, Issue 6
In our last issue, we discussed the potential impact of the Department of Labor's new rules on sales of structured products.
United States
7 Jun 2016
15
Structured Thoughts: News For The Financial Services Community, Special Issue
On April 6, 2016, the Department of Labor issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
9 May 2016
16
Structured Thoughts: News For The Financial Services Community, Volume 7, Issue 5
In a prior issue of this publication, we wrote about electronic structured note issuance platforms, and how these might be affected by U.S. securities regulations.
United States
5 May 2016
17
FHFA Announces Home Modification Program
On April 14, 2016, the Federal Housing Finance Agency ("FHFA") announced the launch of a principal reduction program for first-lien mortgages that are owned or guaranteed by Fannie Mae and Freddie Mac.
United States
26 Apr 2016
18
Structured Thoughts - Volume 7, Issue 3 March 3, 2016
Many broker-dealers engaged in the structured products industry are affiliates of large U.S. banks, which have a significant customer footprint.
United States
11 Mar 2016
19
Structured Thoughts: News For The Financial Services Community - Volume 7, Issue 1 January 15, 2016
In December 2015, the "T+2 Industry Steering Committee" published its Implementation Playbook.
United States
19 Jan 2016
20
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
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