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Regulation Round Up - March 2019
The European Banking Authority ("EBA") published an opinion on deposit protection resulting from the United Kingdom's ("UK") withdrawal from the European Union ("EU")
3 May 2019
Regulation Round Up December 2018
The European Central Bank ("ECB") published a document setting out its cyber resilient oversign expectations for financial market infrastructures.
8 Jan 2019
Preparing For The 2012 Proxy Season: Looking Back At The Last Season And Forward To The Next
Dodd-Frank say-on-pay votes had a big impact on the 2011 proxy season, and issuers under criticism for their pay practices should expect continued shareholder pressure on the say-on-pay front.
United States
18 Nov 2011
CFTC Action To Defer Effective Date For Swaps Regulation
On June 14, 2011, the Commodity Futures Trading Commission ("CFTC") issued a proposed order (the "CFTC Order") that would delay the effective date of many swap trading provisions of the Dodd-Frank Act until no later than December 31, 2011
United States
22 Jun 2011
Rule Proposal Regarding Margin And Capital Requirements For Uncleared Swaps
On April 12, 2011, the Board of Governors of the Federal Reserve, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Farm Credit Administration and the Federal Housing Finance Agency jointly issued a notice of proposed rulemaking (the "Proposed Rules") requiring institutions within their respective jurisdictions that are swap dealers, security-based swap dealers, major swap participants and security-based swap participants ("covered swap entities") to c
United States
8 Jun 2011
FDIC Extends Unlimited Deposit Insurance Coverage for Noninterest-Bearing Transaction Accounts
The FDIC has approved a final rule which implements section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, providing temporary unlimited coverage for noninterest-bearing transaction accounts.
United States
15 Nov 2010
Swaps Developments: Treasury Considers Exempting FX from Swaps; CFTC To Consider Treating Foreign Bankers as "Swaps Dealers"
As amended by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Commodity Exchange Act (CEA) permits the Secretary of the Treasury Department to issue a written determination exempting foreign exchange swaps, foreign exchange forwards, or both, from the definition of a "swap" under the CEA, thereby removing such transactions from the aegis of the CFTC.
United States
9 Nov 2010
US Venture Capital, Private Equity and Hedge Fund Managers May Face Restrictions on Marketing to EU Investors Under Proposed AIFM Directive
The AIFM Directive is a proposal by the European Commission to harmonize the regulation and supervision of "alternative investment fund managers" (AIFMs) within the European Union.
United States
25 Jun 2010
UK FSA Proposes Remuneration Policy Reform For Financial Sector Firms; EU Commission Follows With Recommendations
The reform of remuneration practices in the financial sector is currently the subject of regulatory and political debate worldwide.
United States
7 May 2009
The Financial Stability Plan: Treasury Releases Terms Of The Capital Assistance Program
On February 10, 2009, Treasury Secretary Timothy Geithner introduced the Financial Stability Plan, a series of programs to be implemented by the U.S. Treasury Department, the Federal Reserve, and other regulatory authorities that are designed to strengthen financial institutions and stabilize financial markets.
United States
4 Mar 2009
Treasury Department’s Statement On The Process For Financial Institutions To Apply For Funding Under The Capital Purchase Program
On Monday, October 20, 2008, U.S. Treasury Secretary Paulson convened a press conference at which he explained the process for banks to apply for funding under the Capital Purchase Program (the “Program”).
United States
22 Oct 2008
Monitoring Securities Lending Programs In Today’s Market Environment
The recent instability, and extreme volatility, experienced by the financial markets during these past few weeks has been of some concern to our clients who are fiduciaries and investment advisors of private employee benefit plans subject to the Employee Retirement Income Security Act of 1974 (“ERISA”) — as well as to public employee benefit plans, foundations, mutual funds, insurance companies and other institutional owners of securities — which loan their securities.
United States
30 Sep 2008
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