Mondaq USA: Finance and Banking
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.
Shearman & Sterling LLP
These aim to encourage the implementation of efficient alternative methods to assess creditworthiness and reduce the overreliance on credit rating agencies.
Shearman & Sterling LLP
The proportionality principle states that firms should implement the remuneration provisions in a manner and to the extent that is appropriate to the firm's size, internal organization and the nature, scope and complexity of its activities.
Shearman & Sterling LLP
On May 6, 2015, the European Securities and Markets Authority published its guidelines on the application of the definition of commodity derivatives under the Markets in Financial Instruments Directive (known as MiFID I).
Shearman & Sterling LLP
On May 6, 2015, the EBA published its final report on guidelines on the minimum list of qualitative and quantitative recovery plan indicators, including the final guidelines.
Shearman & Sterling LLP
On May 5, 2015, the TARGET2-Securities advisory group of the European Central Bank published an impact analysis report on non-compliance with T2S harmonization standards.
Orrick
On May 11, ESMA published a consultation paper (CP) on the clearing obligation for additional classes of interest rate derivatives...
Orrick
The ESAs comprise the European Banking Authority, the European Securities and Markets Authority and the European Insurance and Occupational Pensions Authority.
Shearman & Sterling LLP
Once adopted, member states will have two years to transpose the directive into national law.
Shearman & Sterling LLP
On May 11, 2015, the EBA published a consultation paper comprising draft Regulatory Technical Standards on the assignation of risk weights to specialized lending exposures under the CRR.
Shearman & Sterling LLP
The revised taxonomy incorporates corrections to funding plans and benchmarking reporting structures.
Orrick
On May 12, 2015, the European Securities and Markets Authority (ESMA) published an updated version of its Q&A paper on the application of the Alternative Investment Fund Managers Directive.
Orrick
On May 11, 2015, the European Banking Authority (EBA) published a consultation paper (EBA/CP/2015/09) on draft regulatory technical standards (RTS)...
Orrick
On May 6, 2015, the European Securities and Markets Authority (ESMA) published guidelines (ESMA/2015/675) on the definitions of commodity derivatives...
Orrick
On May 8, 2015, the European Banking Authority (EBA) published its final report (EBA/GL/2015/03) on guidelines on triggers for the use of early intervention measures under Article 27(4)...
Orrick
On May 11, 2015, the European Securities and Markets Authority (ESMA) published a fourth consultation paper (ESMA/2015/807) on the clearing obligation under EMIR...
Shearman & Sterling LLP
On May 7, 2015, the EBA published a consultation paper comprising draft Implementing Technical Standards on the mapping of credit assessments of External Credit Assessment Institutions for securitization positions under the CRR.
Shearman & Sterling LLP
The EBA report is not fully comprehensive and a final report will be published at the end of May 2015.
Morrison & Foerster LLP
Since the financial crisis, financial institutions have been required to address significant regulatory changes.
Proskauer Rose LLP
On May 20, 2015, the Securities and Exchange Commission (SEC) released proposed amendments to Form ADV and Rule 204-2 under the Investment Advisers Act of 1940 (Advisers Act).
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McGuireWoods LLP
Last week, the U.S. Department of Labor (DOL) issued its widely anticipated re-proposed rules for defining fiduciary status under the Employee Retirement Income Security Act of 1974 for providers of investment advice for a fee.
Greenberg Traurig
On Dec. 17, 2014, Florida's Third District Court of Appeal (Third District) issued its opinion in Deutsche Bank Trust Company Americas v. Beauvais...
Reed Smith
On January 1, 2015, the final Basel III rules regarding regulatory capital for banks with greater than $500 million in assets and all savings and loan holding companies took effect.
Foley Hoag LLP
During the multi-year build-up to FATCA, the primary focus was on entity classification and registration, and less attention was paid to the compliance obligations of U.S. and non-U.S. entities affected by FATCA.
Reed Smith
In Pontiac General Employees Retirement System v. Ballantine, et al., the Delaware Chancery Court refused to dismiss a claim against a lender for aiding and abetting a breach of fiduciary duty by the borrower's directors.
Troutman Sanders LLP
In Donaldson, the court rejected the plaintiff's argument that filing the proofs of claim mischaracterized the legal status of the debt.
Troutman Sanders LLP
Last month, the United States Supreme Court issued its highly-anticipated opinion in Omnicare, Inc. v. Laborers Dist. Council Constr. Indus. Pension Fund, No. 13-435, slip op. (Mar. 24, 2015)...
Troutman Sanders LLP
On April 9, PayPal Holdings Inc. ("PayPal") issued a regulatory filing indicating that it may soon face a lawsuit from the Consumer Financial Protection Bureau.
Proskauer Rose LLP
Last week, the U.S. Department of Labor (DOL) issued its highly anticipated, re-proposed regulation addressing when a person providing investment advice with respect to an employee benefit plan or individual retirement account (IRA) is considered a fiduciary under the Employee Retirement Income Security Act (ERISA) and the Internal Revenue Code (Code).
Rumberger, Kirk & Caldwell, P.A.
The so-called sovereign citizen movement is a loose confederation of individuals with a collective belief that government, at essentially all levels, is involved in a conspiracy to deprive them of property and essential rights.
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