Publications

Article 24 Jun 2020 5 minutes read

When FINRA asks to speak to your Supervisor…

FINRA requires all broker-dealers to have a supervisory framework in place that is “reasonably designed” to comply with applicable rules and regulations.

Article 24 Jun 2020 4 minutes read

Mass affluent: a key market for retail banks

Fierce competition and low interest rates incite European retail and private banks to look for market innovations in order to acquire new market share and increase margins.

Article 24 Jun 2020 6 minutes read

RING-FENCING: The Challenges Facing UK Banks

What is the purpose of the new ring-fencing rules and what do they include?

Article 24 Jun 2020 6 minutes read

OCC Guidance on Third Party Risk Management Practices

In June, the OCC updated their guidance on third party risk management to address the growing number of bank-fintech relationships.

Article 24 Jun 2020 6 minutes read

Interview with Luc Leclere, Director at BNP Paribas Fortis (1/2)

Even after the biggest crisis since the 1930s, the population of High Net Worth Individuals reaches a new top each year. But while private banking's customer base grows, regulation and competition present serious challenges to the industry.

Article 23 Jun 2020 6 minutes read

Update on 5G Liquidity Reporting Requirements and Framework

The Board of Governors of the Federal Reserve System published the final instructions for its FR 2052 reporting requirements.