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  • John C. Coffee, Jr. – Boeing and the Future of Deferred Prosecution Agreements By John C. Coffee, Jr.
  • Leveraging Information Forcing in Good Faith By Hillary Sale
  • The Dark Side of Safe Harbors Comment bubble 2 By Susan C. Morse
  • John C. Coffee, Jr. – Mass Torts and Corporate Strategies: What Will the Courts Allow? By John C. Coffee, Jr.
  • Compliance’s Next Challenge: Polarization By Miriam H. Baer
  • Will the Common Good Guys Come to the Shootout in SEC v. Jarkesy? And Why It Matters By Eric W. Orts
  • Climate Disclosure Line-Drawing and Securities Regulation By Virginia Harper Ho
  • Board Committee Charters and ESG Accountability By Lisa M. Fairfax
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Armen Meyer

PwC on Basel Committee’s Views of its Fundamental Review of the Trading Book

By Dan Ryan, Julien Courbe, Mike Alix, Adam Gilbert and Armen Meyer February 24, 2017 by Armen Meyer

On January 26 the Basel Committee on Banking Supervision (BCBS) released its first set of Frequently Asked Questions (FAQs) on the Fundamental Review of the Trading Book (FRTB). The BCBS published the FRTB in January 2016 with the intent to …

PwC Explores Whether Trump Will Stay the Course on Sanctions

By Dan Ryan, Sean Joyce, Jeff Lavine, Joseph Nocera, Didier Lavion and Armen Meyer February 17, 2017 by Armen Meyer

President Trump made many statements during the campaign regarding actions he plans to take to reverse Obama administration sanctions policies.[1] These included revisiting the agreement to ease sanctions on Iran, rolling back the sanctions program against Russia, and reversing …

PwC Offers 10 Key Points on SEC’s Consolidated Audit Trail Plan

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer December 23, 2016 by Armen Meyer

On November 15, 2016, the Securities and Exchange Commission (SEC) approved a plan to establish a Consolidated Audit Trail (CAT), which will contain a complete record of all equities and options traded in the U.S.[1] The plan will require …

PwC Discusses Election’s Impact on Advisers’ Duty to Retirement Investors

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer December 2, 2016 by Armen Meyer

We believe the recent election will have less impact on the Department of Labor’s (DOL) fiduciary duty rule than some in the media are currently speculating.[1] While some provisions may be modified by a new Administration, we believe the …

PwC Discusses OCC’s Scrutiny of Bank Sales Practices

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer November 11, 2016 by Armen Meyer

U.S. regulators, led by the Office of the Comptroller of the Currency (OCC), are starting to examine sales practices at large and mid-size banks. They will likely first focus on whether banks have opened accounts for customers without consent as …

PwC on Counterparty Credit Limits: Do You Know Where Your Exposures Are?

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer October 21, 2016 by Armen Meyer

Over the summer, the Federal Reserve Board (Fed) concluded the comment period on its reproposed single counterparty credit limits (SCCL) rule issued in March 2016.[1] SCCL is intended to reduce systemic risk by limiting a banking organization’s credit exposure …

PwC explains New Margin Rule for Broker-Dealers in To-Be-Announced Transactions

By Dan Ryan, Mike Alix, Adam Gilbert, Grace Vogel and Armen Meyer August 29, 2016 by Armen Meyer

On August 15, the Financial Industry Regulatory Authority (FINRA) issued a regulatory notice adopting a requirement that U.S. registered broker-dealers collect margin on To-Be-Announced (TBA) transactions (FINRA Rule 4210).[1] FINRA’s action follows the Securities and Exchange Commission’s approval of …

PwC discusses the SEC’s Reporting and Public Dissemination Rule: Five Key Points

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer August 5, 2016 by Armen Meyer

On July 13, the Securities and Exchange Commission (SEC) adopted a final rule related to the reporting and public dissemination of security-based swap (SBS) transaction information. The rule builds on an earlier reporting rule for security-based swap dealers (SBSDs) finalized …

PwC discusses Preventing the Next $100 Million Bank Robbery

By Dan Ryan, Joseph Nocera, Didier Lavion, Sean Joyce, Jeff Lavine and Armen Meyer July 15, 2016 by Armen Meyer

Attackers last February reportedly stole $81 million from the Bangladesh Central Bank by obtaining and exploiting the bank’s credentials for the Society for Worldwide Interbank Financial Telecommunication (SWIFT) network.[1] The attack – one of the biggest bank robberies in …

PwC explains Brexit: Five Key Points

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer July 8, 2016 by Armen Meyer

The UK voters’ decision to exit the EU came as a surprise to many observers, as well as the markets, with the “Leave” campaign even hinting at defeat as the polls closed. The Wall Street echo chamber view that it …

PwC discusses Protecting Elderly Customers: CFPB and FINRA Step In

By Dan Ryan, Joseph Nocera, Didier Lavion, Sean Joyce, Jeff Lavine and Armen Meyer June 6, 2016 by Armen Meyer

The Consumer Financial Protection Bureau (CFPB) released recommendations in March for how banks and credit unions can better protect elderly customers from financial exploitation. The CFPB issued its recommendations as the elderly population continues to rapidly grow, positioning banks and …

PwC discusses Ten Key Points from the SEC’s Business Conduct Standards for Swap Entities

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer May 12, 2016 by Armen Meyer

One down, three to go: SEC rulemaking is heating up.

Last month, the Securities and Exchange Commission (SEC) finalized business conduct standards for security-based swap dealers (SBSDs).[1] The completion of this rule by the SEC is significant because few …

PwC discusses Five Key Points from Basel’s Proposed Restrictions on Internal Models for Credit Risk

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer April 7, 2016 by Armen Meyer

Last week, the Basel Committee on Banking Supervision (Basel) proposed floors and other constraints on the use of internal models for calculating credit risk capital. The proposal aims to reduce complexity and variation in the calculation of regulatory capital among …

PwC discusses Year-Ahead US Roadmap for Derivatives Regulation

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer February 22, 2016 by Armen Meyer

It has been three years since the first wave of registrants applied to be swap dealers (SDs) with the Commodity Futures Trading Commission (CFTC). Since then, SDs have focused on modifying their operations and building compliance programs that accommodate the …

PwC discusses Ten Key Points from Basel’s Fundamental Review of the Trading Book

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer February 5, 2016 by Armen Meyer

On January 14th, the Basel Committee on Banking Supervision (BCBS) published its revised capital requirements for market risk. The final standard, also known as the Fundamental Review of the Trading Book (FRTB), is intended to harmonize the treatment …

PwC discusses Key Points from Basel’s Re-proposed Standardized Approach for Credit Risk

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer December 28, 2015 by Armen Meyer

The Basel Committee on Banking Supervision (BCBS) on December 10th issued the second iteration of its proposed revisions to the standardized approach (SA) for credit risk measurement. Following up on last year’s initial issuance, the proposed revisions are intended …

PwC discusses Bank Culture: It’s About More Than Bad Apples

By Dan Ryan, Adam Gilbert, Armen Meyer, Mike Alix and Bhushan Sethi December 10, 2015 by Armen Meyer

The US Federal Reserve (Fed) again expressed concerns about the culture at financial institutions this month.[1] This has been a recurring theme since the financial crisis, as regulators in the US and abroad have hit industry players with steep …

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PwC highlights Ten Key Points from the Fed’s TLAC Proposal

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer November 16, 2015 by Armen Meyer

The Fed proposed its long-awaited Total Loss-Absorbing Capacity (TLAC) requirements on October 30th. As expected, the Fed’s proposal came out tougher than the Financial Stability Board’s (FSB) TLAC standard proposed last year,[1] including limitations on capital distributions and bonus …

PwC explains why Broker-Dealers Should Lock in Liquidity

By Dan Ryan, Adam Gilbert, Grace Vogel and Armen Meyer October 29, 2015 by Armen Meyer

The credit crisis of 2008 highlighted the criticality of effective liquidity management and demonstrated the difficulties broker-dealers face without adequate funding sources. In response, the Financial Industry Regulatory Authority (“FINRA”) has been taking steps to impose new requirements that will …

PwC discusses Asset Managers: The SEC’s road ahead

By Dan Ryan, Scott Weisman, Roozbeh Alavi, Brett Janis and Armen Meyer July 2, 2015 by Armen Meyer

The debate over asset managers’ potential systemic risk has been ongoing for some years, with little agreement between the industry, US regulators, and global standard setting bodies. US regulators themselves have been divided – the SEC has in particular been …

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