Meens

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Proposed Fiduciary Definition Regulations Will Impact Investment Adviser Practices

The U.S. Department of Labor (DOL) recently released long-awaited, re-proposed regulations that would broaden the “fiduciary” definition under the …

PwC Aruba Press Conference Compliance and Asset Management 2015 Part 2

The extra mile: Risk, regulatory, and compliance data drive business value

Fed supervision: DC in the driver’s seat

Overview<p>On April 17th, the Board of Governors of the Federal Reserve System (“Fed”) issued a better-late-than-never Supervisory Letter, SR 15-7, …

5 Ways Volcker Would Change Financial Oversight - Briefly - WSJ

When former Fed Chairman Paul Volcker speaks, people listen. So it was worth tuning in on Monday when Mr. Volcker appeared at the National Press Club to detail his plan for revamping the way the U.S. government oversees the financial system. While the plan has little chance of passing this …

Dow Jones

The Volcker Rule

When Paul Volcker, the former U.S. Federal Reserve chairman, in 2009 proposed banning many forms of short-term trading by federally insured banks to …

Volcker Rule

HSBC Monitor Says Bank’s Compliance Progress Too Slow

Bank needs to do more to fix corporate culture, update technology, compliance monitor says<p>A U.S. independent monitor said HSBC Holdings PLC is moving too slowly to fix some of its compliance problems, a tough assessment that comes as the bank is grappling with other issues, including allegations it …

Bank of Tokyo-Mitsubishi to pay $315 million over whitewashed report

NEW YORK (Reuters) - Bank of Tokyo-Mitsubishi UFJ has agreed to pay $315 million to New York’s banking regulator for submitting a whitewashed report about its improper handling of transactions involving countries subject to U.S. sanctions, the regulator said on Tuesday.<p>A pedestrian walks past …

Regulators intensify scrutiny of bank boards

WASHINGTON — U.S. regulators are zeroing in on Wall Street boardrooms as part of the government’s intensified scrutiny of the banking system, …

Bank of New York Mellon fined £126m by regulator for 'failings'

A US banking giant has been fined £126m by the City regulator for breaking rules designed to protect more than £1tn worth of assets held on behalf of UK-based clients in the event of a Lehman Brothers-style collapse.<p>The Bank of New York Mellon was handed the penalty by the Financial Conduct …

US regulators just slapped Deutsche Bank with a $2.5 billion fine and mocked its traders

The regulators also took the time to publicly humiliate the guys who seem to have been pretty openly trying to manipulate these rates in their favour.<p>According to the New York Department of Financial Services:<p>Deutsche Bank will pay $2.5 billion, terminate and ban individual employees who engaged in …

Investing

U.S. Banks Regulators Should Be Wary of a Global Tit-For-Tat

Bank analyst Dick Bove warned that U.S. banking regulators by “attack[ing] foreign banks as they did BNP Paribas,” may be provoking foreign regulators to push back against U.S. banks.

Dow Jones

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