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By Shearman & Sterling LLP
In past quarterly updates of this memorandum, we have discussed the increased scrutiny with which the SEC has been reviewing companies' use of non-GAAP financial measures, which are financial measures...
By Barnabas Reynolds
There is little doubt about what would be the best picture for UK-EU free trade in financial services after Brexit.
By Fredric Sosnick
Partner Fredric Sosnick (New York-Financial Restructuring & Insolvency) has just released the latest issue of Financially Distressed Companies Answer Book 2019 for the Practising Law Institute (PLI).
By Shearman & Sterling LLP
On September 27, 2018, the U.K.'s Serious Fraud Office announced that it will be restructuring and expanding its management team ...
By Shearman & Sterling LLP
On October 1, 2018, ESMA published its Annual Work Programme for 2019, dated September 26, 2018.
By Shearman & Sterling LLP
On October 1, 2018, following its announcement in August 2018, ESMA published notice of the extension of the prohibition on the marketing, distribution and sale of binary options to retail investors ...
By Shearman & Sterling LLP
On October 1, 2018, ESMA published a letter (dated September 26, 2018) from ESMA Chair Steven Maijoor addressed to Valdis Dombrovskis, the Vice President of the European Commission.
By Shearman & Sterling LLP
On October 2, 2018, ESMA issued an opinion addressed to EU national regulators on the market size calculation for the ancillary activity exemption under MiFID II.
By Jay Baris, Nathan Greene, Andrew (Buddy) Donohue, Paul Schreiber, Thomas Majewski, Matthew Kutner
The SEC's Division of Investment Management has issued a no-action letter confirming that the Division's Staff would not object if fund boards cease to make quarterly independent compliance findings
By Philip Urofsky, Danforth Newcomb, Stephen Fishbein, Christopher LaVigne, Barnabas Reynolds, Mark Lanpher, Susanna Charlwood, Paula Howell Anderson, Brian Burke
US sanctions against Russia remained front and center this quarter, with the Trump Administration imposing new measures in response to Russia's alleged involvement in biological attacks in the UK...
By Shearman & Sterling LLP
On October 3, 2018, ESMA published a decision (dated September 26, 2018) of its Board of Supervisors to withdraw its existing Guidelines for trading platforms ...
By Shearman & Sterling LLP
On October 5, 2018, ESMA published an Opinion (dated September 24, 2018) on position limits for U.K. Natural Gas Contracts, for the purposes of the position limit regime ...
By Shearman & Sterling LLP
On October 1, 2018, the Joint Committee of the European Supervisory Authorities (i.e., the European Banking Authority, the European Insurance and Occupational Pensions Authority ...
By Shearman & Sterling LLP
On October 4, 2018, the Commodity Futures Trading Commission and the Australian Securities and Investments Commission signed an arrangement designed to support cross-border FinTech innovation ...
By Shearman & Sterling LLP
On October 1, 2018, the FCA published a final notice issued to a U.K. Retail Bank for breaches of Principle 2 of the FCA's Principles for Businesses.
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