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Searching Content indexed under Financial Services by Shearman & Sterling LLP ordered by Published Date Descending.
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1
Southern District Of New York Dismisses In Part Securities Fraud Claims Against Major Industrial Conglomerate, Allowing Claims Based Upon Factoring In Financial Filings To Proceed
On August 29, 2019, Judge Jesse M. Furman of the U.S. District Court for the Southern District of New York dismissed most of the securities fraud claims
United States
12 Sep 2019
2
SEC Proposes Modifications To Cross-Border Application Of Security-Based Swaps Regime
The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been
United States
5 Sep 2019
3
Second Circuit Holds That Commodities Exchange Act Antifraud And Private Right Of Action Provisions Do Not Apply Extraterritorially
On August 29, 2019, the United States Court of Appeals for the Second Circuit affirmed the dismissal of an action under the Commodities Exchange Act alleging that defendants manipulated the foreign benchmark ...
United States
5 Sep 2019
4
Tax Guidance On The Transition From Interbank Offered Rates Under OIRA Review
On August 28, 2019, the U.S. Department of Treasury submitted proposed regulations on the tax consequences related to the phased elimination of interbank offered rates (the "Proposed Regulations")
United States
4 Sep 2019
5
The European Courts Recognize Creditors' Interests In State Aid Decisions
This may now provide a plausible route for creditors to attack State aid approvals of bank resolution, something that has been very difficult to date.
European Union
13 Aug 2019
6
SEC Chairman Announces Significant Changes To Commission Procedures For Considering Disqualification Waivers
On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (SEC) issued a Statement Regarding Offers of Settlement (the "Public Statement") to announce a significant shift in the SEC's process of...
United States
9 Aug 2019
7
Family Offices And Direct Investment In Real Estate – Safeguarding Your Rights.
The last several years have seen a clear trend toward direct investment in real estate by family offices, and away from indirect holdings through private fund investments and the public market
United States
8 Aug 2019
8
Libor Update: What Is Happening As A Matter Of Fact And Law?
Partner Patrick Clancy wrote an article on LIBOR and what is happening as a matter of fact and law in Thomson Reuters Regulatory Intelligence.
UK
8 Aug 2019
9
PLSA Launches ESG And Stewardship Guidance
On 18 June 2019, the PLSA published a new guide to help pension funds comply with the new ESG requirements coming into force from 1 October 2019, and support them in achieving good practice into the future.
UK
29 Jul 2019
10
PLSA Publishes Response To Stewardship Code Consultation
On 5 April 2019, the Pensions and Lifetime Savings Association (PLSA) published its response to the draft 2019 U.K. Stewardship Code, as covered in our Q1 2019 newsletter on page 20
UK
29 Jul 2019
11
European Commission Publishes Guidelines on Reporting Climate-Related Information
On 18 June 2019, the European Commission announced that, as part of its Sustainable Finance Action Plan, it has published new guidelines for companies on how to report climate-related information
European Union
29 Jul 2019
12
Shearman & Sterling Contributes To Global Legal Insights: Initial Public Offerings Laws And Regulations 2019
Attorneys from Shearman & Sterling's New York, London and Paris Capital Markets and Mergers & Acquisitions practices have contributed to Global Legal Insights: Initial Public Offerings Laws and Regulations 2019.
UK
26 Jul 2019
13
Regulation Best Interest: First Analysis
This article discusses the Regulation Best Interest (Regulation BI) adopted by the U.S. Securities and Exchange Commission (the Commission or SEC) on June 5, 2019...
United States
26 Jul 2019
14
The European Commission Welcomes Adoption Of CMU Proposals
On 18 April 2019, the European Commission issued a press release welcoming the European Parliament's final votes on the legislation that puts in place the building
European Union
26 Jul 2019
15
Commission Delegated Regulation To Increase SME Growth Markets Issued In The Official Journal Of The EU
On 21 June 2019, the Official Journal published the Commission Delegated Regulation. The new Regulation is intended to work in conjunction with Directive 2014/65/EU
European Union
26 Jul 2019
16
ESMA Publishes Updated Q&A On The Market Abuse Regulation And The Alternative Investment Fund Manager Directive
On 29 March 2019, ESMA updated its Q&A documents in relation to the implementation of the Market Abuse Regulation (MAR) and the Alternative Investment Fund Manager Directive (AIFMD).
European Union
25 Jul 2019
17
Market Trends 2018/19: Investment Companies
This market trends article reviews the Securities and Exchange Commission (SEC) regulatory agenda, releases, speeches, and statements for hints
United States
25 Jul 2019
18
The UK's Expanded Senior Managers And Certification Regime: Key Issues And Action Plan For Brokers, Advisers And Asset Managers
The expanded Senior Managers and Certification Regime (SM&CR), which comes into force on December 9, 2019, extends the framework regulating individuals charged
United States
16 Jul 2019
19
CFTC Proposes Amendments To DCO Core Principle Regulations
The Commodity Futures Trading Commission (CFTC) has proposed a series of changes to its general regulations governing derivatives clearing organizations (DCOs).
United States
12 Jul 2019
20
Financial Services Regulations For The Fintech Entrepreneur
Partner Nathan Greene and associate Justin Reda (both New York-Investment Funds) have published a two-part article titled "Financial Services Regulation for Fintech Companies"
United States
10 Jul 2019
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