Decoupling the investment firms’ prudential regime from credit institutions

James Ross
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James Ross: Head of Regulatory Developments, EMEA and APAC, Columbia Threadneedle Investments, UK

Journal of Financial Compliance, 2019, vol. 2, issue 4, 330-341

Abstract: This paper will first summarise the European Commission and European Banking Authorities case for a proportionate prudential regime for investment firms and the case for decoupling it from the prudential regime for credit institutions. Secondly, a summary of the key themes of the proposed prudential reforms is presented. Thirdly, it will set out selected industry concerns regarding the proposed reforms; and finally, conclude that the industry will have to continuously state its case for a proportionate prudential regime for investment firms each time the new directive and regulation are reviewed.

Keywords: capital; fixed overheads investment firms; requirements; K-factors; liquidity; remuneration; third countries (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2019
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jfc000:y:2019:v:2:i:4:p:330-341

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