Barnabas Reynolds

Barnabas Reynolds

Shearman & Sterling LLP

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Financial Regulatory Developments Focus - February 2016

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...more

2/8/2016 - Anti-Money Laundering Capital Requirements Cybersecurity Deposit Insurance Dodd-Frank FDIC Market Abuse Memorandum of Understanding Mexico Prudential Standards Rating Agencies Regulation Technical Standards (RTS) SEFs South Africa

Governance & Securities Law Focus: Europe Edition, January 2016

In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates. Please see full Newsletter below for more...more

1/29/2016 - AIM Corporate Governance Enforcement Actions EU Financial Conduct Authority (FCA) Financial Reporting MiFID II Proxy Voting Guidelines Succession Planning Takeover Code Transparency Directive UK

Identification of Third Parties in FCA Notices

Several recent UK cases have considered the extent to which third parties may be identified in public disciplinary notices issued by the Financial Conduct Authority to financial institutions. UK financial services...more

1/27/2016 - Barclays Financial Conduct Authority (FCA) Government Investigations JPMorgan Chase Libor Third-Party UBS UK

Sanctions Round-Up: Fourth Quarter 2015 and “Implementation Day”

The International Atomic Energy Agency certifies that Iran had complied with all nuclear-related requirements of the Joint Comprehensive Plan of Action leading to the end of United States sanctions against the country...more

1/21/2016 - Cuban Assets Control Regulations (CACR) IAEA Implementation Day Iran Sanctions Joint Comprehensive Plan of Action (JCPOA)

Navigating Iran Sanctions After Implementation Day

Although the United States, the European Union, and the United Nations lifted a number of sanctions targeting Iran on January 16, 2016 (“Implementation Day”) in accordance with the terms of the recent Iran nuclear deal, the...more

1/21/2016 - Embargo EU General Licenses Implementation Day Iran Sanctions Joint Comprehensive Plan of Action (JCPOA)

Financial Regulatory Developments Focus - January 2016 #2

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...more

1/15/2016 - Accounting Standards Administrative Appointments Banking Sector Civil Monetary Penalty Examination Priorities Market Risk Capital Rule Senior Managers Supervision

Financial Regulatory Developments Focus - January 2016

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...more

1/7/2016 - Banking Sector Debt Financing Due Diligence EBA EU Eurozone FinCEN MiFID II

Financial Regulatory Developments Focus - December 2015 #3

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...more

12/28/2015 - Banking Sector EU G-SIB MiFID II Shadow Banking Stress Tests Truth in Lending Act (TILA) UK

Financial Regulatory Developments Focus - December 2015 #2

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...more

12/17/2015 - Banking Sector EU Financial Markets Hedge Funds MiFID II Money Laundering Recovery Plans Risk Assessment Shadow Banking UK

EU Clearing Obligation for Interest Rate Swaps Set for June 2016

The obligation for central clearing of OTC derivatives under the European Market Infrastructure Regulation will apply from June 2016. A Delegated Regulation that imposes a mandatory clearing obligation for interest rate swap...more

12/10/2015 - Central Counterparties EMIR EU Interest Rate Swaps Mandatory Clearing Requirements

Financial Regulatory Developments Focus - December 2015

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...more

12/3/2015 - Anti-Money Laundering Barclays Bribery EU Liquidity Stress Tests Transparency Virtual Currency

Abu Dhabi Global Market: Obtaining a Commercial Licence

This memorandum provides a brief overview of certain key areas of the Commercial Licensing Regulations 2015 published by Abu Dhabi Global Market on 14 June 2015. The Commercial Licensing Regulations establish the framework...more

12/2/2015 - Abu Dhabi Global Markets (ADGM) Licensing Rules UAE

Abu Dhabi Global Market: Establishing a Company

This memorandum provides a brief overview of the Companies Regulations 2015 published by Abu Dhabi Global Market on 14 June 2015. The Companies Regulations set out the framework for companies to establish themselves in ADGM....more

11/30/2015 - Abu Dhabi Global Markets (ADGM) Choice of Entity Companies Law UAE

Financial Regulatory Developments Focus - November 2015 #4

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...more

11/25/2015 - Corporate Governance Credit Ratings Cybersecurity Financial Regulatory Reform Financial Sector

Financial Regulatory Developments Focus - November 2015 #3

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...more

11/23/2015 - Banking Sector Basel Committee G20 Investment Schemes Shadow Banking

Update on Third Country Equivalence Under EMIR

The European Commission has adopted “equivalence” decisions on the derivatives regulatory regimes for central counterparties in Canada, Mexico, Republic of Korea, South Africa and Switzerland. This follows the decisions...more

11/19/2015 - Canada Central Counterparties Derivatives EMIR EU Foreign Equivalency Determination Mexico Regulatory Standards

Financial Regulatory Developments Focus - November 2015 #2

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...more

11/16/2015 - Banking Crisis Clearing Members Deutsche Bank G-SII Market Abuse Prudential Regulation Authority SEFs Stress Tests Volcker Rule

Abu Dhabi Global Market: The Application of English Common Law

English common law as it stands from time to time will directly apply in, and form part of the law of, Abu Dhabi Global Market (“ADGM”). Other common law systems’ case law can also be used as a persuasive and useful source of...more

11/9/2015 - Abu Dhabi Global Markets (ADGM) English Common Law

Financial Regulatory Developments Focus - November 2015

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...more

11/4/2015 - Banking Sector Confidential Information Consumer Lenders Crowdfunding Federal Reserve Financial Institutions FSB G-SIB Prudential Regulation Authority Risk Management SEC Shadow Banking UK UK Competition and Markets Authority (CMA)

Implementation Issues Arising from the Revised UK Senior Manager and Certification Regime

The UK Government recently announced that it would introduce a new statutory duty of responsibility on senior managers in all financial institutions and repeal the presumption of responsibility that would have applied to...more

11/3/2015 - Banking Sector EEA Financial Institutions FSMA Investment Funds Prudential Regulation Authority Senior Managers Insurers Regime (SMIR) UK UK Bribery Act

Financial Regulatory Developments Focus - October 2015 #4

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...more

10/30/2015 - Abu Dhabi Global Markets (ADGM) Anti-Money Laundering Anti-Terrorism Financing Banking Sector Capital Requirements Consultation Deposit Insurance Enforcement Actions EU European Commission MiFID II Prudential Regulation Authority SEC

Financial Regulatory Developments Focus - October 2015 #3

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...more

10/21/2015 - Banking Examinations Banking Sector Certifications Depository Institutions Federal Reserve Financial Institutions G-SII MiFID II Private Equity Prudential Regulation Authority Ring-Fencing SEC Senior Managers TILA-RESPA Integrated Disclosure Rule (TRID) UK

Governance & Securities Law Focus: Asia Edition, October 2015

In this newsletter, we provide a snapshot of the principal US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see full...more

10/19/2015 - AIM Capital Markets Corporate Governance Digital Single Market DOJ Enforcement Actions EU Executive Compensation Financial Conduct Authority (FCA) Israel Limited Partnerships London Stock Exchange Market Manipulation MiFID II Nasdaq NYSE Private Equity Regulation Technical Standards (RTS) SEC Shareholder Rights Transparency UK

Financial Regulatory Developments Focus - October 2015 #2

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...more

10/15/2015 - Banking Sector Capital Requirements Clearing Agencies EU European Central Bank Federal Reserve Financial Institutions Investment Funds Payment Systems Regulation P Regulation Technical Standards (RTS) Regulatory Standards SEC Securitization Vehicles Structured Financial Products Transparency Whistleblower Protection Policies

Governance & Securities Law Focus: Europe Edition Q3 2015

In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates. Please see full Newsletter below for more...more

10/13/2015 - Alternative Investment Funds Corporate Governance Enforcement Actions ESMA EU EU Directive Executive Compensation Financial Reporting Germany London Stock Exchange NYSE OECD Proxy Season Proxy Voting Guidelines SEC Securities Shareholder Rights Transparency UK

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