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By John Cannon, III, Kenneth Laverriere, Doreen Lilienfeld, Linda Rappaport, Gillian Moldowan
Death, taxes and proxy season. Although it may seem like you just filed your 2017 proxy, the 2018 proxy season is on the horizon.
By Shearman & Sterling LLP
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and corporates.
By Geoffrey Goldman, Donna Parisi, Azam Aziz, Nicholas Emguschowa
On October 6 2017 the US Department of the Treasury released its second in a series of four reports (Capital Markets Report) evaluating the U.S. financial regulatory system.
By Barnabas Reynolds
It is hoped that, with Brexit on the horizon, the EU and UK will reach a new deal which preserves the ability of customers and financial institutions to continue their existing access rights.
By Shearman & Sterling LLP
On November 20, 2017, the European Commission published a Report of the Commission Expert Group on Corporate Bonds on improving the European corporate bond markets.
By Shearman & Sterling LLP
On November 23, 2017, the European Commission published a Report to the European Parliament and the Council of the European Union on the application of the SEPA Regulation.
By Shearman & Sterling LLP
On November 16, 2017, the Court of Justice of the European Union gave a preliminary ruling on the meaning and scope of "regulated market" under the Markets in Financial Instruments Directive...
By Shearman & Sterling LLP
On November 21, 2017, the final RTS Standards under the Markets in Financial Instruments Regulation on indirect clearing arrangements for exchange-traded derivatives and amending RTS...
By Christopher Ryan, Jonathan Greenblatt, Henry Weisburg
Benjamin Franklin allegedly quipped that "an ounce of prevention is worth a pound of cure."
By Shearman & Sterling LLP
On November 23, 2017, the IOSCO published a final report on good practices for the voluntary termination of investment funds which takes into account investors' interests during the termination process.
By Shearman & Sterling LLP
On November 16, 2017, the UK Serious Fraud Office charged two individuals in relation to the SFO's ongoing bribery investigation into Unaoil.
By Shearman & Sterling LLP
On November 20, 2017, the Commodity Futures Trading Commission Division of Market Oversight issued no-action relief to Swap Execution Facilities and their chief compliance officers from certain...
By Shearman & Sterling LLP
On November 23, 2017, the Financial Conduct Authority published a note on the compliance function in wholesale banks
By Shearman & Sterling LLP
On November 21, 2017, the Financial Stability Board published the 2017 list of Global Systemically Important Banks.
By Shearman & Sterling LLP
On November 20, 2017, the US Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency and the US Federal Deposit Insurance Corporation announced changes...
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