Tag Archives: Regulators
DFA and Living Wills (funeral plans)
Section 165(d) of Dodd Frank Act requires each non bank financial company or bank holding company with consolidated assets of $ 50 billion or more to submit periodically a plan for their rapid and orderly resolution in the event of material...
DFA and Volcker rule (Proprietary Trading)
Federal Regulators in the United States are moving ahead with a rule that would ban banks from trading for their own profit.
This rule – popularly known as Volcker Rule – is covered under Section 619 of Dodd Frank Act and contains two broad...
DFA and Financial Stability Oversight Council
As established under the Dodd-Frank Act, the Financial Stability Oversight Council (FSOC) will provide, for the first time, comprehensive monitoring to ensure the stability of financial system in US.
The Council is charged with identifying threats...
DFA and Orderly Liquidation Authority
The Dodd-Frank Act provided important new authorities to the FDIC to resolve Systemically Important Financial Institutions.
Prior to the recent crisis, the FDIC’s receivership authorities were limited to federally insured banks and thrift...
‘Fair play’ by credit rating agencies is the need of the hour
In the recently held G20 deliberations, there was a call for ending what is called mechanistic reliance on credit rating agencies and encouraging transparency and competition among them.
The debate on credit rating agencies is increasingly becoming...
Need to revisit ‘trade repositories’ our new financial markets infrastructure
No one knows exactly what the problems afflicting financial markets today. Hence, we should not be in a hurry to fix solutions beforehand and create new institutions / intermediaries / infrastructures just to make things comfortable, desirable...
Bilateral and Triparty Collateral Management
The recent financial markets crises have heightened and increased focus on collateralization.
Collateralization is a process where a borrower pledges an asset as recourse or cover or a security to the lender for facilities or limits or credits...
Self Regulation is the Best Pill for all Ills of the Banking Industry
Volcker, Vicker or combined global regulations, one may aspire for any or many, but nothing will work when the banks themselves want to fail.
Most of the banks during the recent crises behaved as if they were the masters of the market place...
Leadship in uncertain times
Leading through uncertainty can be as complex as four deaf and blind persons trying to explain how an elephant would look like by merely touching different parts of a wild elephant. I am also, placed in a similar environment. Despite this serious...
Realignments in Investment Banking – Sell Side to Buy Side
Euro and Europe are going through challenging times.
Stephen Hester, chief executive of Royal Bank of Scotland, has conceded for the first time that the state-backed lender could sell its investment banking division. Giving evidence to members...
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