Regulation

Regulation is applied by regulators or supervisors in their relevant jurisdictions to try to ensure the avoidance of such perils as market disruption, systemic risk, market manipulation, trade confirmation backlogs, insider trading, front running and illegal practices, including rogue trading and hiding losses. Major regulators include: The Basel (or Basle) Committee on Banking Supervision, the Bank for International Settlements, the US Federal Reserve, the EU, ECB, UK FCA, Japan FSA and the People’s Bank of China.


  • SCI CRT Awards: North American Transaction of the Year

    Winner: TCB CRT 2021-1

    The arrival of the first US regional bank in the capital relief trades sector had been anticipated a...

    News    15 October 2021
  • SCI CRT Awards: Transaction of the Year

    Winner: Siena 2021 - RegCap-1

    Banca Monte dei Paschi di Siena’s Siena 2021 - RegCap-1 has won the Transaction of the Yea...

    News    15 October 2021
  • Risk transfer round-up - 15 October

    CRT sector developments and deal news

    News    15 October 2021
  • Big bang?

    Tokenisation touted as a replacement for securitisation

    Tokenisation is being touted as a potential replacement for securitisation, given its many applicati...

    News Analysis    14 October 2021
  • Transition trauma

    A bumpy road ahead for shift to post-Libor world

    The structured finance market still has a great deal to do before the beginning of next year when co...

    News Analysis    13 October 2021
  • SCI Start the Week - 11 October

    A review of SCI's latest content

    CRT seminar in person THIS WEEK SCI’s 7th Annual Capital Relief Trades Seminar is taking...

    News    11 October 2021
  • Provisioning relief

    Second Stage 2 SRT finalised

    News    8 October 2021
  • CRT seminar line-up finalised

    Fireside chat, awards on the agenda

    SCI’s 7th Annual Capital Relief Trades Seminar is taking place in-person on 13 October at...

    News    6 October 2021
  • Chopra on the march

    CFPB to expand its role and come down harder on securitisation

    The securtisation market will see a more aggressive CFPB under the leadership of recently appointed...

    News    6 October 2021
  • Libor warnings

    Senior Fed governor spells things out for the SFA

    Federal Reserve vice chair of supervision Randal Quarles fired a shot across the bows – ve...

    News    5 October 2021
  • CRT crush

    Mayer Brown working with 'many' imminent issuers

    Mayer Brown is currently working on “many” US private label capital relief trade...

    News Analysis    5 October 2021
  • CIFC, TRS launch leveraged loan partnership

    Sector developments and company hires

    CIFC, TRS launch leveraged loan partnership Teacher Retirement System of Texas (TRS) and CIFC Ass...

    Market moves    4 October 2021
  • Capitalising Mobility-as-a-Service

    SDG Investments partner Stefan Bund and senior structurer Toni Phan explore the opportunity for impa...

    The trade-off between urbanisation, individualisation and sustainability has led to the emergence of...

    Talking Point    4 October 2021
  • Libor risks

    Securitized products with swaps at most risk when Libor dies

    While the potential damage to US securitized markets inflicted by the abolition of Libor appears les...

    News Analysis    1 October 2021
  • Lack of clarity

    Positive signs for Indian ABS, but challenges remain

    The Indian ABS market has demonstrated resilience during the Covid-19 pandemic. However, going forwa...

    News    1 October 2021
  • Synthetic Libor settings confirmed

    Sector developments and company hires

    Synthetic Libor settings confirmed The UK FCA has confirmed that to avoid disruption to legacy cont...

    Market moves    29 September 2021
  • Mobilising capital

    Call for risk transfer adoption in development finance

    Aid agencies, development finance institutions (DFIs) and multilateral development banks (MDBs) must...

    News    28 September 2021
  • SCI Start the Week - 27 September

    A review of SCI's latest content

    Last week's news and analysis BPCE up Debut French green RMBS prepped CLOs and beyond...

    News    27 September 2021
  • Fraud charges for Honor Finance pair

    Sector developments and company hires

    Fraud charges for Honor Finance pair The US SEC has announced fraud charges against James Collins a...

    Market moves    24 September 2021
  • Risk transfer round-up - 23 September

    CRT sector developments and deal news

    News    23 September 2021
  • New frontiers?

    Prospects for further NPL ABS guarantee schemes weighed

    Given the success of both GACS and HAPS in facilitating the development of a market for non-performi...

    News Analysis    23 September 2021