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Searching Content indexed under Strategy by Shearman & Sterling LLP ordered by Published Date Descending.
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1
Raising The Bar: SEC Adopts Broker-Dealer Standard Of Care And Guidance On Investment Advisers' Fiduciary Standard
On June 5, 2019, the U.S. Securities and Exchange Commission (the "SEC" or "Commission") culminated its multi-year consideration of commentary
United States
9 Jul 2019
2
9 Data Considerations For Investment Management Attorneys
The volume and variety of data available today is growing at a staggering pace, and costs of data storage and processing continue to fall.
United States
20 Mar 2019
3
Federal Infrastructure Law And Policy: 2019 Update
On February 15, President Trump signed H.J. Res. 31, the "Consolidated Appropriations Act, 2019," averting a new government shutdown and authorizing appropriations for the remaining unfunded federal
United States
20 Mar 2019
4
UK Crypto-Assets Task Force Outlines The Path To Crypto-Asset Regulation
On October 30, 2018, the U.K. Crypto-Assets Task Force published its Final Report. Established in March 2018 by the U.K. Chancellor ...
UK
23 Nov 2018
5
UK Legislation Published To Preserve Settlement Finality Designation Post-Brexit
On October 31, 2018, HM Treasury published a draft of the Financial Markets and Insolvency (Amendment and Transitional Provision) (EU Exit) Regulations 2018.
European Union
14 Nov 2018
6
EU Amending Legislation Published For Liquidity Coverage Requirement
On October 30, 2018, an Amending Regulation supplementing the Capital Requirements Regulation was published in the Official Journal of the European Union, following its adoption in July 2018 ...
European Union
13 Nov 2018
7
European Banking Authority Final Guidelines On Managing Non-Performing And Forborne Exposures
On October 31, 2018, the European Banking Authority published a final report setting out finalized Guidelines on management of non-performing exposures (NPEs) ...
European Union
13 Nov 2018
8
UK Conduct Regulator Evaluates Impact Of UK Benchmark Reform Since 2015
On October 22, 2018, the U.K. FCA published an evaluation paper on the impact of bringing seven additional benchmarks within the U.K.'s regulatory and supervisory perimeter in April 2015 ...
European Union
13 Nov 2018
9
European Commission Adopts Technical Standards For Eligibility For Simplified Obligations Under The Bank Recovery And Resolution Directive
On October 25, 2018, the European Commission adopted a draft Delegated Regulation under the Bank Recovery and Resolution Directive ...
European Union
13 Nov 2018
10
Can A Cyber Breach Be A Violation Of Internal Controls? The Sec Says, ‘Maybe'
On October 16, 2018, the Securities and Exchange Commission (SEC) issued a report outlining an investigation conducted by the SEC's Division of Enforcement related to the internal accounting controls
United States
6 Nov 2018
11
UK Serious Fraud Office To Recruit New Senior Staff To Management Team
On September 27, 2018, the U.K.'s Serious Fraud Office announced that it will be restructuring and expanding its management team ...
UK
18 Oct 2018
12
Financial Regulatory Developments Focus - Issue 40, October 11, 2018
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks
UK
15 Oct 2018
13
AG Wathelet Opinion: No Half-Baked Excuses On State Aid And The Incentive Effect
Advocate General Wathelet has issued his opinion in the Eesti Pagar preliminary ruling, [1] which if followed could have significant implications for Member States, national authorities...
European Union
4 Oct 2018
14
Gaps In Current Legal Framework Hindering Blockchain-Based Trade Finance
Shearman & Sterling, R3 and BAFT (Bankers Association for Finance and Trade) have released a technical paper ...
United States
1 Oct 2018
15
US Federal Reserve Board, OCC And FDIC Issue Interim Final Rule With Respect To The Treatment Of Certain Municipal Obligations As High-Quality Liquid Assets
On August 22, 2018, the U.S. Board of Governors of the Federal Reserve System, U.S. Office of the Comptroller of the Currency and U.S. Federal Deposit Insurance Corporation jointly issued an interim final rule and request ...
United States
12 Sep 2018
16
Financial Regulatory Developments Focus — Issue 34, August 31, 2018
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.
Worldwide
12 Sep 2018
17
European Central Bank Issues Opinion On Proposed Prudential Framework For Investment Firms
On August 22, 2018, the European Central Bank published an Opinion on the legislative proposals adopted by the European Commission in December 2017 for a new framework for the prudential regulation of investment firms.
European Union
10 Sep 2018
18
US Federal Reserve Board, OCC And FDIC Expand 18-Month Examination Cycle For Small Banks And Branches And Agencies Of Foreign Banks
On August 23, 2018, the U.S. Board of Governors of the Federal Reserve System, U.S. Office of the Comptroller of the Currency and U.S. Federal Deposit Insurance Corporation jointly issued an interim final rule ...
United States
10 Sep 2018
19
European Commission Adopts Technical Standards Under The EU Benchmarks Regulation
On July 13, 2018 the European Commission adopted a series of Commission Delegated Regulations comprising all of the RTS to supplement the EU Benchmarks Regulation.
European Union
2 Aug 2018
20
New Chair Appointed To Bank Of England's Governing Body
On May 31, 2018, the Bank of England announced the appointment of Bradley Fried as Chair of the Court of the BoE, replacing Sir Anthony Habgood, as of July 1, 2018. The Court is the BoE's governing body ...
UK
12 Jun 2018
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