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Cadwalader, Wickersham & Taft LLP
Industry Conversations, Mike Mascia sits down with Cadwalader partner Jed Miller to discuss capital relief trades for banks in the context of subscription facilities.
Cadwalader, Wickersham & Taft LLP
In remarks before the "Derivatives Trading Forum: Trading ESG Products," ISDA Chief Executive Scott O'Malia urged regulatory action to address Basel III market risk rules for carbon certificates.
Cadwalader, Wickersham & Taft LLP
The CFTC Market Participants Division (the "Division") staff provided temporary capital and financial reporting relief to non-bank swap dealers ("SDs") domiciled in Japan, Mexico, the UK and the EU.
Cadwalader, Wickersham & Taft LLP
Further, SIFMA stated that clear interim guidance is needed to assist in banks' engagement in the cryptoasset market, given rapidly expanding markets and growing customer demands.
Cadwalader, Wickersham & Taft LLP
The Global Financial Markets Association, the Financial Services Forum, FIA, the Institute of International Finance, ISDA and the Chamber of Digital Commerce offered recommendations to the Basel Committee on Banking Supervision.
Cadwalader, Wickersham & Taft LLP
CFTC staff provided temporary no-action relief to swap dealers subject to the capital requirements of prudential regulators from the CFTC's swap dealer financial reporting rules.
Cadwalader, Wickersham & Taft LLP
The SEC published a proposed substituted compliance determination for security-based swap dealers regulated in Spain.
Cadwalader, Wickersham & Taft LLP
Comments on the proposal must be received by October 15, 2021.
Sheppard Mullin Richter & Hampton
On July 26, 2021, the SEC announced the approval of a substituted compliance determination order with respect to security-based swap dealers and major security-based swap participants (SBS Entities)...
Cadwalader, Wickersham & Taft LLP
The SEC adopted new FINRA Rule 4111 ("Restricted Firm Obligations") that will impose additional requirements on broker-dealers deemed to pose a significant risk to investors.
Cadwalader, Wickersham & Taft LLP
The FDIC issued FAQs on the impact of LIBOR transitions on regulatory capital instruments under 12 CFR Part 324 ("Capital Adequacy of FDIC-Supervised Institutions").
Cadwalader, Wickersham & Taft LLP
FINRA updated its guidance concerning SEA Rules 15c3-1 ("Net capital requirements for brokers or dealers") and 15c3-3 ("Customer protection-reserves and custody of securities").
Mayer Brown
Taking a page from US banking regulators, Ginnie Mae is contemplating imposing a risk-based capital requirement on non-bank issuers, according to a Request for Input ("RFI") that it issued last week.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Bank of New York ("New York Fed") appointed Dianne Dobbeck to lead New York Fed's Supervision Group.
Shearman & Sterling LLP
On June 10, 2021, the Basel Committee on Banking Supervision (BCBS) issued a public consultation on a proposal that would apply regulatory capital requirements for banks' exposures to cryptoassets (the "Consultation").
Cadwalader, Wickersham & Taft LLP
The CFTC Market Participants Division ("MPD") issued clarifications as to the capital and financial reporting requirements imposed on swap dealers ("SDs") that use the "tangible net worth" method of calculating net capital.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Dawn D. Stump advocated for the frequent re-visitation and refinement of swaps rule sets by regulators to ensure that regulations are current with the market environment.
Mayer Brown
On June 10, 2021, the Basel Committee on Banking Supervision ("Basel Committee") took another step on the road toward the establishment of a global standard for the prudential regulation of cryptoassets...
Cadwalader, Wickersham & Taft LLP
The CFTC Market Participants Division ("MPD") clarified certain requirements applicable to swap dealers using models to calculate certain aspects of the CFTC capital requirements.
Jones Day
Intensifying demands from regulators, investors, and the public for attention to environmental, social, and governance ("ESG") considerations presents a key challenge for risk managers, particularly those in the financial sector.
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