The Goldilocks Dilemma of Financial Regulation
Originally Published:
Wednesday, August 7, 2013
Will the “Volcker Alliance” initiate the "just right" regulatory approach?
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The Prudential Regulation Authority consults on strengthening capital standards
The Prudential Regulation Authority publishes a consultation paper on changes to its rules required to implement the EU’s Capital Requirements Directive (CRD IV).
Originally Published:
Friday, August 2, 2013
FCA Consultation Paper 13/6: CRD IV for Investment Firms
FCA releases consultation paper regarding changes to the FCA Handbook on the the Capital Requirements Directive (CRD).
Originally Published:
Wednesday, July 31, 2013
SEC sanctions two investment advisory firms for best execution failures
SEC sanctions two investment advisory firms for failing to seek best execution on in-house client trades.
Originally Published:
Wednesday, July 31, 2013
SEC adopts amendments to Financial Responsibility Rules for broker-dealers
SEC announces adoption of amendments to the Financial Responsibility Rules for broker-dealers.
Originally Published:
Wednesday, July 31, 2013
SEC adopts rules to increase protections for investors with assets being held by broker-dealers
SEC announces rules designed to substantially increase protections for investors vis-a-vis broker-dealers.
Originally Published:
Wednesday, July 31, 2013
IOSCO Publishes Recommendations for Supervisory Colleges for Credit Rating Agencies
IOSCO publishes final report on Supervisory Colleges for Credit Rating Agencies.
Originally Published:
Tuesday, July 30, 2013
ASIC releases enforcement outcomes report for January to June 2013
ASIC reports on its enforcement outcomes from January - July 2013.
Originally Published:
Monday, July 29, 2013
Proposed requirements on banks’ disclosure of the Liquidity Coverage Ratio issued by the Basel Committee
Basel Committee on Banking Supervision issues Liquidity Coverage Ratio disclosure standards for consultation.
Originally Published:
Friday, July 19, 2013
How ASIC Could Do More
Originally Published:
Friday, July 12, 2013
ASIC’s enforcement powers despite seeming awesome on paper are often quite blunt in practice, which prompts suggestions for the Senate inquiry on how ASIC could do more.