Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Shearman & Sterling LLP ordered by Published Date Descending.
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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
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
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
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.
8 Aug 2019
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
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
SEC Recognises TISE As A Designated Offshore Securities Market
This means that issuers of securities listed on TISE can rely on the provisions of Regulation S to issue securities outside the United States without the need for them to register with the SEC
United States
4 Jul 2019
CFTC Proposes Updated Swap Data Reporting Regulations
The Commodity Futures Trading Commission (CFTC) has proposed the first installment of a series of amendments to its rules relating to swap data repositories (SDRs)
United States
27 Jun 2019
FINRA Proposes Substantive And Organizational Amendments To Corporate Financing Rule
On April 25, 2019, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed proposed amendments to FINRA Rule 5110.
United States
19 Jun 2019
Federal Reserve Proposes Broadened Application Of FDICIA Netting Provisions
On May 2, 2019, the Board of Governors of the Federal Reserve System Board proposed amendments
United States
30 May 2019
ISDA Proposes Amendments To The 2014 ISDA Credit Derivatives Definitions Relating To Narrowly Tailored Credit Events
On March 6, 2019, the International Swaps and Derivatives Association (ISDA) published proposed amendments to the 2014 ISDA Credit Derivatives Definitions relating to so-called NTCEs.
United States
29 Apr 2019
EMIR Refit: Impact Of The Reclassification Of Funds
The EU proposals to amend technical aspects of the European Market Infrastructure Regulation (EMIR), known colloquially as ‘EMIR 2.1' or ‘EMIR Refit', have been politically agreed.
European Union
15 Apr 2019
2019 Chambers Global Practice Guide In Securitisation
Upon the commencement of bankruptcy proceedings, creditors will, with some exceptions, be subject to the automatic stay on their ability to collect on, or otherwise enforce against
United States
4 Mar 2019
CFTC Divisions Outline Examination Priorities For 2019
On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO) and Division of Clearing & Risk (DCR).
United States
28 Feb 2019
CFTC Considers Revamp Of SEF Regulatory Framework
Toward the end of 2018, the Commodity Futures Trading Commission (CFTC) proposed significant revisions to the framework governing swap trading through swap execution facilities (SEFs)
United States
12 Feb 2019
Borsa Italiana Amends Rules Of The Market And The Related Instructions To Include New Central Counterparties Operating On MTA And ETF Plus Markets
Borsa Italiana S.p.A., the managing company of the Italian stock exchange ("Borsa Italiana"), amended its Rules of the Market and the related Instructions ...
8 Feb 2019
LSE Issues Public Censure And Fine For Breaches Of AIM Rules 11 And 31
On 7 December 2018, the London Stock Exchange (LSE) publicly censured and fined Bushveld Minerals Limited ("Bushveld") £700,000.
United States
4 Feb 2019
Supreme Court Seeks Solicitor General's Input On Granting Certiorari
On January 14, 2019, the United States Supreme Court invited the Solicitor General to file a brief expressing the views of the United States in connection with a pending petition for writ of certiorari regarding whether, ...
United States
22 Jan 2019
UK Conduct Authority Consults On Permanent Product Intervention Measures
On December 7, 2018, the U.K. FCA launched two consultations proposing to prohibit the sale, marketing and distribution of binary options to retail consumers and to restrict the sale ...
28 Dec 2018
Proposed Exemption From EU Margin Obligations For OTC Derivatives Novated To EU Counterparties In Preparation For A ‘No Deal' Brexit
The variation margin requirements have applied to all counterparties since March 1, 2017.
European Union
21 Dec 2018
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