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The Alternative Investment Management Association

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Regulation of NBFCs / SIFIS

The Dodd-Frank Act authorises the Financial Stability Oversight Council to designate certain nonbank financial companies (NBFCs) as systemically important financial institutions (SIFIs) which would be subject to heightened prudential standards and to supervision and enforcement actions by the Federal Reserve Board.

Consultation documents  

Board of Governors of the Federal Reserve System - Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (January 2012)

FSOC - Proposed Notice of Rulemaking - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies  (October 2011)

FSOC - Proposed Notice of Rulemaking - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies (January 2011)

FSOC - Advance Notice of Proposed Rulemaking - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies Advance Notice of Proposed Rulemaking (October 2010)

AIMA documents

Response - Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (April 2012)

Response - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies (December 2011)

Response - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies (February 2011)

Response - Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies (November 2010)

Final Rules

FSOC - Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies

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Sub Menu

  1. Asset Management Regulation
    1. EU Asset Management Regulation
      1. AIFMD
        1. AIFMD Archive
          1. AIMA Documents
          2. Official Papers
          3. Expert Opinions
          4. Directive Press
          5. Quotes
      2. UCITS
        1. ETFs and Structured UCITS
      3. Venture Capital
      4. MiFID / MiFIR
    2. US Hedge Fund Regulation
      1. Registration and Reporting
      2. Incentive-Based Compensation
    3. Asia Pacific Asset Management regulation
    4. Other Jurisdictions’ Asset Management Regulation
    5. Regulation of NBFCs / SIFIS
    6. Supervision
      1. UK regulatory reform
      2. European Supervisory Authorities
      3. US Self-Regulatory Organisations
    7. Remuneration
      1. UK
      2. US
      3. AIFMD
    8. Shadow Banking
    9. Volcker Rule
    10. Other
  2. Markets Regulation
    1. Bank/Capital Regulation
      1. Capital Requirements Directive
    2. Derivatives/Clearing
      1. EMIR
      2. MiFID / MiFIR
      3. MAD / MAR
      4. Dodd-Frank Act Title VII
      5. Hong Kong
      6. IOSCO
    3. High Frequency Trading
      1. ESMA Guidelines
      2. MiFID / MiFIR
      3. MAD / MAR
      4. Flash Crash
      5. IOSCO
    4. Insurance Regulation
      1. Solvency II
    5. Market Abuse
      1. MAD / MAR
    6. Position Limits
      1. MiFID / MiFIR
      2. CFTC
    7. Resolution of Financial Institutions
    8. Short Selling
      1. EU Short Selling Regulation
      2. Hong Kong Short Sellling Regulation
      3. US Short Selling Regulation
      4. Short Selling Bans
    9. Trading
      1. MiFID / MiFIR
      2. Dodd-Frank Act
  3. Tax Affairs
    1. EU Savings Directive
    2. FAIFs and FINROFs
    3. FATCA
    4. FIN 48 and IAS 12
    5. Financial Transaction Tax
    6. Investment Manager Exemption
    7. UK Offshore Funds Regime
    8. Other
  4. Search
  5. Resources
    1. Noticeboard
      1. Bribery Act
      2. EU Directive on Alternative Investment Fund Managers
      3. EU Directive on Alternative Investment Fund Managers - Level II
      4. EU Directive on Markets in Financial Instruments (MiFID)
      5. FATCA
      6. FTT
      7. FSA Remuneration Code
      8. General
      9. Market Abuse Directive
      10. MF Global
      11. Securities Law Directive
      12. Short Selling
      13. UK Stewardship Code
      14. US Dodd-Frank Wall Street Reform and Consumer Protection Act
    2. Guidance Notes
    3. Quarterly Regulatory Update
 
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