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Financial Regulation

Fed Stress Tests By The Numbers

March 13, 2015

U.S. Banks Make the Grade With a 90 Percent Pass Rate on 2015 Fed Stress Tests. An analysis of the Federal Reserve’s quantitative and qualitative stress tests featured in the Bloomberg Brief: Financial Regulation newsletter. Click here to see the full article. — Melissa Karsh, Bloomberg Brief Editor, with assistance

U.S. Law Against Insider Trading Sought by Senate Democrats

March 13, 2015

Insider trading is illegal and there should also be a law against it,say U.S. lawmakers looking to make that happen. Legislation introduced Wednesday by Senators Jack Reed of Rhode Island and Bob Menendez of New Jersey would make it illegal to trade on material information a person knows isn’t publicly available. It would clarify

Leveling High-Quality Liquid Assets Under Basel III Proves Difficult for Banks

March 10, 2015

ANALYSIS BY CADY NORTH & MATTHEW DEBRABANT, BLOOMBERG ENTERPRISE SOLUTIONS As banks start daily reporting under the Basel Committee on Banking Supervision’s liquidity coverage ratio, compliance is proving to be more difficult than originally thought, according to Bloomberg Enterprise Solutions’s Cady North and Matthew Debrabant. They say banks must first spend time organizing their market and

March Madness: Fed Says 31 Largest U.S. Banks Could Weather an Economic Storm

March 6, 2015

  The Federal Reserve said all 31 big banks subjected to a stress test have sufficient capital to absorb losses during a sharp and prolonged economic downturn. It’s the first time since the central bank started stress tests in 2009 that no firm fell below any of the main capital thresholds. Click here to read the full article.

FDIC Problem Banks Fell to Lowest Since 2008 Credit Crisis

February 27, 2015

    The FDIC’s list of problem institutions — those viewed as being at heightened risk of failure — fell to 291 in the fourth quarter of 2014 from 329 the previous quarter, according to the agency’s Quarterly Banking Profile. This is the first time the FDIC’s “problem list” has

More Insider Trading Cooperators Seen Outside of SDNY in 2014, Says Law Firm

February 20, 2015

In 2014, there were more people who cooperated in insider trading cases outside of the southern district of New York, where most of these cases are brought, than in previous years, according to data compiled by Morrison & Foerster LLP in its annual insider trading report. Click here to read Bloomberg Brief’s Editor Melissa Karsh’s full article.

Finra’s Axelrod Focused on $32.3 Million Paid in Restitution in 2014

February 13, 2015

The Financial Industry Regulatory Authority levied $134 million in fines, buoyed by a $43.5 million settlement over analysts’ IPO pitches, and $32.3 million in restitution in 2014. This is more than double the $65 million in fines levied in 2013 and more than triple the $9.5 billion in restitution paid that year, according to an annual report. New disciplinary

European ABS Revival Curbed by Capital Rules

February 6, 2015

BY BEN MOSHINSKY, ALASTAIR MARSH AND JIM BRUNSDEN Tough capital rules are undermining a drive to revive the European asset-backed securities market, according to Deutsche Bank AG, Barclays Plc and other companies. New capital charges for ABS are a “multiple” of those for the underlying assets, and if left unchanged they would “substantially

U.K. Markets Regulator Fines Rose in 2014 on FX Sanctions

January 30, 2015

The U.K. Financial Conduct Authority issued fines totaling 1.47 billion pounds in 2014, according to data from the agency. This is up from 2013′s 610 million-pound total — 474 million pounds of which was levied by the FCA, which took over as the U.K. markets regulator from the Financial Services Authority in April 2013. The FCA’s 1.47

2015 Timeline: Regulators Turn to Compliance, Enforcement in 2015 as Post-Crisis Rules Take Effect

January 27, 2015

2015 TIMELINE by Cady North, Regulatory Specialist, Bloomberg Enterprise Solutions Regulators Turn to Compliance, Enforcement in 2015 as Post-Crisis Rules Take Effect Jan. Basel III risk weighting and liquidity requirements take effect globally. This includes daily calculation of the liquidity coverage ratio, or LCR, to ensure banks have enough funding