Christina Broch

Shearman & Sterling LLP

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Financial Regulatory Developments Focus - March 25, 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Market Infrastructure - Funds Enforcement - Events Hearings - People - Excerpt from...more

3/25/2014 - CFTC Corporate Bonuses Derivatives Dodd-Frank Executive Compensation No-Action Relief Private Funds

Financial Regulatory Developments Focus - March 18, 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Market Infrastructure - Financial Services - Consumer Protection - Enforcement - People - Events -...more

3/19/2014 - Asset Management Banks Broker-Dealer Derivatives EU Financial Regulatory Reform Investment Funds OTC

Dodd-Frank: Enhanced Supervision Becomes Final

The Federal Reserve’s proposed requirements for large US and non-US banking organizations to comply with enhanced supervisory requirements, required by Section 165 of the Dodd-Frank Wall Street Reform and Consumer Protection...more

3/12/2014 - Dodd-Frank Federal Reserve Regulation YY Supervision

Financial Regulatory Developments Focus - March 4, 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Funds - Enforcement - Events - Excerpt from Derivatives: Common Data Format for Pre-LOUs for the...more

3/5/2014 - Derivatives Enforcement Financial Regulatory Reform Securities Litigation

Comparison of New EU Proposals on Proprietary Trading and Ring-fencing Against US, UK, French and German Rules

The European Commission has published a legislative proposal that would prohibit certain large EU banks from engaging in selected types of risky proprietary trading. The proposal would also potentially require such banking...more

2/26/2014 - EU Proposed Regulation Proprietary Trading Ring-Fencing Volcker Rule

Financial Regulatory Developments Focus - February 25, 2014

In this issue: - Regulatory Capital - Financial Services - Funds - Enforcement - Events - People - Excerpt from Regulatory Capital: EBA Publishes Draft RTS on Bankers' Bonuses - On...more

2/25/2014

Financial Regulatory Developments Focus - February 18, 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Enforcement - Events - People - Excerpt from Derivatives - ESMA Requests Clarification on...more

2/18/2014 - EMIR ESMA EU Financial Regulatory Reform

Financial Regulatory Developments Focus - February 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Hearings - Excerpt from Derivatives: FSB Consults on Approaches to Aggregate OTC Derivatives Data On 4...more

2/11/2014 - Derivatives Financial Regulatory Reform FSB IOSCO OTC Risk Management

Financial Regulatory Development Focus

In this issue: - Derivatives - Regulatory Capital - Financial Services - Consumer Protection - Enforcement - Funds - People - Events - Hearings - Excerpt...more

2/4/2014 - CCPs Derivatives EMIR Enforcement ESMA Financial Regulatory Reform

Financial Regulatory Developments Focus

In this issue: - Derivatives - Regulatory Capital - Financial Services - Consumer Protection - Enforcement - People - Hearings - Excerpt from Derivatives: ESMA...more

1/28/2014 - Basel Committee CFPB ECJ EMIR Enforcement ESMA EU European Commission Federal Reserve Financial Regulatory Reform Fines Trade Repositories

Volcker Unbound

The regulation that will implement the Volcker Rule was finally issued on December 10, 2013. Major financial institutions around the world will have to review a host of activities and investments in order to comply with the...more

1/2/2014 - Banks Dodd-Frank Volcker Rule

FDIC Board Releases Single Point of Entry Resolution Strategy for Public Comment

On December 18, 2013, the Board of Directors of the Federal Deposit Insurance Corporation (“FDIC”) published a widely anticipated notice in the Federal Register (the “Notice”) setting forth the FDIC’s single point of entry...more

12/23/2013 - Bank Holding Company Dodd-Frank FDIC Orderly Liquidation Authority SIFIs Single Point of Entry Too Big to Fail

The Final Volcker Rule Begins to Emerge

We issued a client memorandum on December 9 listing the major topics to look for when the five financial regulatory agencies agreed to finalize the Volcker Rule, which generally prohibits banking organizations from engaging...more

12/11/2013 - Banks Private Investment Funds Volcker Rule

Ready for the Volcker Rule? What to Look For

Over two years after publication of a proposed regulation, a final regulation implementing the so-called “Volcker Rule” is expected to be adopted tomorrow by the five US Federal financial regulatory agencies. Two of them —...more

12/9/2013 - CFTC Compliance Federal Reserve Financial Regulatory Reform Volcker Rule

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