Searching Content indexed under Capital Adequacy/BASEL by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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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
Economists Evaluate Effect On Collateral Supply Following Major Default Of Clearing Member
Despite these concerns, the authors concluded that the fear that markets may not be able to cope with this demand may be overstated.
United States
11 Feb 2019
ESMA Publishes Q&As And Revised Disclosure Templates For Securitisation Reporting
On 31 January 2019, the ESMA published an Opinion containing a revised set of draft disclosure technical standards and a first set of Questions and Answers under the EU Securitisation Regulation (the "Q&As").
European Union
11 Feb 2019
ISDA Offers Steps For Addressing Derivatives Market Fragmentation
ISDA recommended ways in which policymakers can reduce "fragmentation" in global derivatives markets.
United States
6 Feb 2019
CFTC Commissioner Dan Berkovitz Offers Measures To Enhance Competition In Swaps Markets
CFTC Commissioner Dan Berkovitz proposed a number of measures that might increase competition in the swaps markets.
United States
4 Feb 2019
Buy-Side Trade Associations Urge BCBS To Amend Bank Leverage Ratio
As previously noted, the debate over whether to change the current application of the bank leverage ratio to cleared derivatives seems to be a neverending story.
United States
28 Jan 2019
Basel Committee Oversight Body Approves Final Version Of Market Risk Framework
The revised market risk framework will become effective on January 1, 2022.
United States
22 Jan 2019
FDIC Chair McWilliams Describes Agency Supervisory Approach
FDIC Chair Jelena McWilliams underscored principles of certainty, consistency, diligence and communication in regulatory supervision.
United States
18 Jan 2019
Basel Committee Proposes Revisions To Leverage Ratio Disclosure Requirements
The Committee is seeking comments from the public on all aspects of the consultative document by March 13, 2019.
United States
3 Jan 2019
Cadwalader Attorneys Analyze EU Securitization Regulation
On November 30, 2018, the European Banking Authority, the European Securities and Markets Authority ("ESMA") and the European Insurance and Occupational Pensions Authority ...
European Union
11 Dec 2018
Securitisation Regulation - Transparency And Article 14 CRR Issues: Where Do We Go From Here?
On 30 November 2018, the European Banking Authority, the European Securities and Markets Authority ("ESMA") and the European Insurance and Occupational Pensions Authority published a joint statement regarding:
United States
6 Dec 2018
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