Financial Regulation

CFTC, SEC Are Most Active Agencies on Dodd-Frank Rules at the End of 2014

December 19, 2014

The U.S. Commodity Futures Trading Commission and Securities and Exchange Commission have each issued 85 final Dodd-Frank rules since the law’s 2010 enactment through Dec. 17, 2014, the highest number among the 10 regulatory agencies writing rules required under the law, according to Bloomberg Government data. The CFTC has issued the most proposed rules among the 10 agencies with 95,

Post-Crisis Rules Seen Increasing Market Dangers

December 12, 2014

BY ADAM LITKE, HEAD OF RISK STRATEGY AT BLOOMBERG LP Regulators have boxed themselves into a corner, with the very rules that have made the banking system safer apparently increasing dangers in the markets. Consider a recent Bank for International Settlements report on market making and proprietary trading. The authors of the report, who are

U.S. Regulators Looking to Tailor Banking Rules

December 5, 2014

U.S. regulators in recent speeches have shone a spotlight on the idea of tailoring or tiering U.S. banking regulations for small and community banks. This week, Federal Reserve Governor Lael Brainard in a speech said the Fed is working on such a plan, and Comptroller of the Currency Thomas Curry

AIFMD Increasing Attractiveness of European Fund Domiciles

December 1, 2014

The introduction of the Alternative Investment Fund Managers Directive, effective since July 2013, has fueled growth in European fund domiciles with the number of alternative investment funds in Europe rising by 10 percent since 2010, according to a report published by the Association of the Luxembourg Fund Industry, or ALFI: http://bit.ly/1FqEPLf. The report,

Disclosures, Offering Fraud Top SEC Whistleblower Issues

November 21, 2014

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Euro Banks Would Take Biggest Hit on Accounting Rules

November 14, 2014

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Banks Set Aside $2.4 Bln for FX Probes as U.K. Fines Near

November 7, 2014

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CoCo Bonds Take Off as EU Banks Prepare for Basel III

October 24, 2014

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EBA Cracks Down on Shift From Variable to Fixed Pay

October 17, 2014

The European Banking Authority said 39 banks in the European Union are paying staff discretionary role-based payments they classify as fixed pay, in addition to their salaries. At the same time, the EBA found that fixed pay for identified staff — those whose roles have a material impact on a firm’s risk profile

Banks Increasingly Under Spotlight as Complaints Rise

October 10, 2014

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