Searching Content indexed under Consumer Protection by Shearman & Sterling LLP ordered by Published Date Descending.
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Hot Topics: Dodd-Frank Act Hedging Policy Disclosures Begin
Although final rules were published in December of 2018, July 1st marked the date that issuers (other than smaller reporting companies and emerging growth companies) must begin complying
United States
18 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
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
Third Circuit Affirms In Part And Vacates In Part Dismissal Of Putative Securities Class Action Resulting From Merger, Finding Sufficient Certain Allegations That Bank Failed To Adequately Disclose Non-Compliant Practices In Proxy Materials
On December 26, 2018, the United States Court of Appeals for the Third Circuit affirmed in part and vacated in part the dismissal of a putative securities class action against M&T Bank Corporation (the "Company") and certain of its officers and directors.
United States
10 Jan 2019
New Year, New Rules: Arrival Of The Final Hedging Disclosure Rules
On December 18, 2018, the Securities and Exchange Commission (SEC) approved long-awaited final rules implementing Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
7 Jan 2019
EU Contracts For Differences Product Intervention Measures Extended
On October 31, 2018, the European Securities and Markets Authority Decision renewing and amending the temporary restriction on the marketing, distribution or sale of contracts for differences ...
European Union
23 Nov 2018
EU Supervisory Authority Will Extend Binary Options Ban Into 2019
On November 9, 2018, ESMA announced that it proposes to renew the prohibition on the marketing, distribution or sale of binary options to retail clients for a further three months from January 2, 2019
European Union
21 Nov 2018
Financial Regulatory Developments Focus – Nov 15, 2018 Issue 45/2018
On November 8, 2018, the Joint Committee of the European Supervisory Authorities launched a consultation on draft joint guidelines on the cooperation and information exchange between national...
20 Nov 2018
European Supervisors Announce 2019 Work Priorities
On October 9, 2018, the Joint Committee of the European Supervisory Authorities published its 2019 Work Programme. EIOPA will Chair the Joint Committee in 2019.
European Union
26 Oct 2018
International Standards Body Encourages Regulatory Clampdown On OTC Leveraged Products
On September 19, 2018, the International Organization of Securities Commissions published a report on retail OTC leveraged products, alongside a statement warning retail investors ...
European Union
3 Oct 2018
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
UK Conduct Regulator Reminds Firms Of Obligations On Selling High-Risk Products To Retail Clients
On August 1, 2018, the U.K. Financial Conduct Authority issued a statement on selling high-risk speculative investments to retail clients ...
21 Aug 2018
Financial Regulatory Developments Focus - August 09, 2018 Issue 31/2018
On July 31, 2018, the U.S. Office of the Comptroller of the Currency released an updated version of the Comptroller's Licensing Manual Business Combinations booklet.
United States
21 Aug 2018
UK Conduct Authority Contemplates Introducing A New Duty Of Care
On July 17, 2018, the FCA published its Approach to Consumers alongside a discussion paper on the potential introduction of a new duty of care and possible alternative approaches.
7 Aug 2018
Financial Regulatory Developments Focus - July 26, 2018 Issue 29/2018
On July 18, 2018, the European Banking Authority published final Guidelines on fraud reporting under the revised Payment Services Directive. PSD2 aims to increase the security of electronic payments ...
3 Aug 2018
US Board Of Governors Of The Federal Reserve System Announces Stress Test Results
On June 21, 2018, the U.S. Board of Governors of the Federal Reserve System announced the results of the eighth and latest round of Dodd-Frank Act stress testing.
United States
17 Jul 2018
US Federal Financial Regulators Release Statements Regarding Implementation And Impact Of The Economic Growth, Regulatory Relief, And Consumer Protection Act
On July 5 and 6, 2018, the U.S. Board of Governors of the Federal Reserve System, Office of the Comptroller of the Currency and Federal Deposit Insurance Corporation ...
United States
17 Jul 2018
Financial Regulatory Developments Focus - July 12, 2018 Issue 27/2018
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 ...
United States
17 Jul 2018
Kathleen Kraninger Nominated To Serve As US CFPB Director
On June 20, 2018, U.S. President Donald Trump announced that he had nominated Kathleen Kraninger to serve as Director of the U.S. Bureau of Consumer Financial Protection.
United States
13 Jul 2018
Volcker Rule 2.0: First Major Rule Revisions Proposed
Earlier this week, the Federal Reserve Board and other federal regulatory agencies responsible for implementing the Volcker Rule agreed to seek public comment on proposed changes to the regulations...
United States
4 Jun 2018
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