Searching Content indexed under Capital Adequacy/BASEL by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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CFTC DSIO Director Reviews Compliance And Supervisory Issues For 2020
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling reviewed "key supervisory considerations" that will be addressed in the upcoming year.
United States
18 Oct 2019
FRB Vice Chair Randal Quarles Reviews FSB Activity
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
United States
14 Oct 2019
ISDA CEO Calls For Changes To Current CVA Capital Rules
ISDA CEO Scott O'Malia called for specific changes to the current credit valuation adjustment ("CVA") capital framework, criticizing the requirements for not being appropriate or risk-sensitive.
United States
10 Oct 2019
CFTC DSIO Director Indicates SD Capital Reproposal Coming Soon
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling highlighted a number of regulatory issues for swap dealers
United States
8 Oct 2019
FRB Proposes Capital Requirements For Certain Supervised Insurance Companies
The Federal Reserve Board ("FRB") requested comment on a proposal to establish capital requirements for certain supervised insurance companies.
United States
11 Sep 2019
FRB Vice Chair Proposes Modifications To Stress Testing Program Proposal
Federal Reserve Board ("FRB") Vice Chair for Supervision Randal K. Quarles proposed modifying the FRB's large stress testing regime in response to industry feedback.
United States
10 Sep 2019
Federal Register: SEC Adopts Swap Capital, Margin and Segregation Requirements
The SEC final rule to establish security-based swap capital, margin and segregation requirements was published in the Federal Register.
United States
27 Aug 2019
Agencies Adopt Final Amendments Simplifying Capital Rule For Certain Banking Organizations
The Office of the Comptroller of the Currency, Federal Reserve System and FDIC adopted amendments designed to simplify certain aspects of the capital rule for a banking organization.
United States
19 Jul 2019
FRB Approves 2019 Capital Plans For All Major Banks
The Federal Reserve Board ("FRB") approved the capital plans for all 18 of the largest U.S. banking firms under its yearly Comprehensive Capital Analysis and Review
United States
11 Jul 2019
Basel Committee Agrees To Advance Several Ongoing Policy And Supervisory Initiatives
The Basel Committee (the "Committee") agreed to advance several ongoing policy and supervisory initiatives concerning, among other things
United States
8 Jul 2019
Article 14 CRR Update
On 7 June 2019, Regulation (EU) 2019/876 ("CRR II")[1] was published in the Official Journal of the EU.
United States
26 Jun 2019
Associations Request Clarification On Implementing BCBS-IOSCO Exemptions From Certain Swaps Margin Requirements
ISDA, SIFMA, the Global Financial Markets Association and SIFMA AMG (collectively, the "associations") urged U.S. regulators to provide guidance on implementing Basel Committee on Banking Supervision
United States
24 Jun 2019
Broker-Dealer Settles FINRA Charges For Net Capital And Customer Reserve Calculation Errors
A broker-dealer settled FINRA charges related to reporting, recordkeeping and supervisory failures on inaccurate net capital and customer reserve calculations.
United States
24 Jun 2019
SEC Reconsiders Cross-Border Swap Rules
The SEC proposed amendments and interpretive guidance to rules governing security-based swap activity in a cross-border context.
United States
28 May 2019
CRS Reviews Proposals To Reduce Big Bank Burdens
The Congressional Research Service ("CRS") reviewed recent proposals by the Federal Reserve Board ("FRB")
United States
22 May 2019
Federal Register: Banking Agencies Propose Supplementary Leverage Ratio Relief
The Federal Reserve Board, the FDIC and the Office of the Comptroller of the Currency's proposal to amend a capital requirement for U.S. banking organizations engaged primarily in custodial activities was published in the Federal Register.
United States
14 May 2019
FINRA Provides Guidance On Capital Charges In Underwriting
FINRA updated the "Interpretations of Financial and Operational Rules" concerning net capital requirements for brokers or dealers.
United States
29 Apr 2019
FRB Amends Capital Plan Rule, Provides Instructions For 2019 CCAR Exercise
The Federal Reserve Board ("FRB") amended the "capital plan rule" to limit the scope of potential objections to a firm's capital plan on the basis of "qualitative deficiencies in the firm's capital planning process."
United States
18 Mar 2019
EU To Require Insolvency Opinions In Relation To U.S. Sub-Custodians Under The EU AIFMD Regime
From April 2020 depositaries under the EU Alternative Investment Fund Managers Directive[1] ("AIFMD") ...
United States
14 Feb 2019
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