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Searching Content indexed under Capital Adequacy/BASEL by Ropes & Gray LLP ordered by Published Date Descending.
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Investment Firms Post-Brexit: EU Provisionally Agrees To Regulatory Supervision Framework
EU policy makers recently reached a provisional agreement on a package of measures, which may tighten UK financial services firms' access to EU clients when Britain leaves the EU...
European Union
25 Mar 2019
2
U.S. Banking Regulators Finalize Minimum Margin Requirements For Uncleared Swaps
While the Final Margin Rules do not apply directly to buy-side entities, they will have a material impact on buy-side entities who use uncleared derivatives.
United States
3 Nov 2015
3
Recent Enforcement Actions By SECís Asset Management Unit Highlight New Proactive, Analytical Approach
Several enforcement actions announced by the SEC over the past month appear to be the early fruits of several initiatives launched by the SEC Enforcement Division over the past year.
United States
22 Dec 2011
4
Bank Settles Action under Regulation FD
On November 22, 2011, the SEC announced a settlement with Fifth Third Bancorp over allegations that, in violation of Regulation FD, it selectively disclosed its decision to redeem a class of trust preferred securities.
United States
12 Dec 2011
5
Proposed Volcker Rule And The Effect On Private Fund Sponsors And Investors
The federal banking agencies and the SEC recently proposed regulations to implement Section 13 of the Bank Holding Company Act, also known as the Volcker Rule, adopted as part of the Dodd-Frank Act.
United States
26 Oct 2011
6
Proposed Rules And Guidance Regarding Federal Reserve Oversight Of Nonbank Financial Companies
On October 11, 2011, the Financial Stability Oversight Council (the "Council") released a second notice of proposed rulemaking and interpretive guidance regarding the process by which the Council will determine, with respect to each "nonbank financial company," whether such company could pose a threat to U.S. financial stability and therefore should be supervised by the Board of Governors of the Federal Reserve (the "Board") and be subject to prudential standards.
United States
26 Oct 2011
7
Fed Adopts Final Rule For Conformity With The Volcker Rule
On Wednesday, February 9, 2011, the Board of Governors of the Federal Reserve System (the "Board") announced its adoption of a final rule concerning the period of time that banking entities and nonbank financial companies supervised by the Board have to comply with the new section 13 (the "Volcker Rule") of the Bank Holding Company Act of 1956 (the "BHC"), as added by Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
23 Feb 2011
8
Fed Issues Proposed Rule for Conformity with Volcker Rule
Much has already been written about the possible impact of the Volcker Rule on the financial services industry.
United States
22 Nov 2010
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