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By Shearman & Sterling LLP
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and corporates.
By Shearman & Sterling LLP
The European Commission published a consultation paper in which it seeks views on the main challenges for SME-dedicated markets and possible changes to EU legislation ...
By Shearman & Sterling LLP
ESMA published a statement alerting investors about the high risks of investment in ICOs, including the risk of total loss of their investment.
By Shearman & Sterling LLP
On 27 October 2017, ESMA published its annual public statement on European common enforcement priorities for 2017 IFRS financial statements, setting out the priorities that listed companies ...
By Shearman & Sterling LLP
On 30 October 2017, ESMA issued a revised version of its Q&A document on the implementation of its Guidelines on Alternative Performance Measures (APMs) ...
By Shearman & Sterling LLP
On 15 December 2017, ESMA launched a consultation on draft regulatory technical standards (RTSs) under the new Prospectus Regulation. The draft RTSs set out requirements in relation to:
By Shearman & Sterling LLP
On 21 November 2017, the European Securities and Markets Authority (ESMA) published a revised version of its Q&A on the implementation of the Market Abuse Regulation (MAR).
By Shearman & Sterling LLP
On 13 November 2017, the European Commission (EC) published a consultation on institutional investors and asset managers' duties regarding sustainability.
By Michael Shulman, Laurence E. Crouch, Derek Kershaw, Eric Grosshandler, Malcolm Montgomery, Chris Smith, John Opar, Lisa Brill, Kris Ferranti
On December 22, 2017, H.R.1, commonly referred to as the Tax Cuts and Jobs Act ("Tax Act") was signed into law.
By John Reiss, Nathan Greene, Jay Baris, Bjorn Bjerke, Lorna Xin Chen, Andrew (Buddy) Donohue, Thomas Majewski, Michael Pettingill, Paul Schreiber
In a no-action letter dated February 12, 2018, the SEC expanded the scope of Section 3(c)(5)(C) of the Investment Company Act to apply to a sponsor of multiple securities trusts that hold whole mortgage loans.
By Shearman & Sterling LLP
On February 5, 2018, new U.K. secondary legislation was laid before Parliament to make the necessary minor technical changes to align U.K. legislation with recently introduced changes ...
By Shearman & Sterling LLP
On February 8, 2018, the European Commission has announced that KPMG has been appointed to carry out a survey on the functioning of the Alternative Investment Fund Managers Directive ...
By Shearman & Sterling LLP
On February 5, 2018, the Financial Services and Markets Act 2000 (Benchmarks) Regulations were laid before Parliament and will come into force mainly on February 27, 2018.
By Shearman & Sterling LLP
On February 9, 2018, the BoE published a consultation paper on a new rule to formalize the supervisory expectation that CCPs will report any incidents relating to their information technology systems to the BoE.
By Shearman & Sterling LLP
On 29 November 2017, Deputy Attorney General Rod Rosenstein announced a revised Foreign Corrupt Practices Act ...
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