Donald Lamson

Donald Lamson

Shearman & Sterling LLP

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Financial Regulatory Developments Focus - April 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Services - Financial Crime - Excerpt from Derivatives: European Commission Consults on Definition...more

4/16/2014 - CFTC Data Collection Derivatives EU Financial Instruments Financial Products Financial Regulatory Reform Swaps

Financial Regulatory Developments Focus - April 8, 2014

In this issue: - Derivatives - Bank Structure - Regulatory Capital - Financial Services - Financial Market Infrastructure - Funds - Financial Crime - People -...more

4/9/2014 - Banks Capital Markets CCPs Derivatives EMIR ESMA EU Financial Crimes Financial Regulatory Reform Investment 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

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 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

Initial Swap Trading Requirements Come into Effect—Limited Relief for Packaged Trades and Some EU Facilities

The Commodity Futures Trading Commission has imposed for the first time a requirement that certain swaps be traded on a regulated market. Beginning February 15, 2014, certain cleared interest rate swaps and index credit...more

2/14/2014 - CFTC EU Swap Dealers Swap Execution Facilities Swaps

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

Vickers Recommendations on Bank Ring-fencing Made Law in the UK

New laws requiring the ring-fencing of retail banking from investment banking have been enacted in the UK. The protection of retail businesses was one of many recommendations made by the Independent Commission on Banking in...more

12/20/2013 - Banks EU Proprietary Trading Prudential Regulation Authority Ring-Fencing UK Vickers Report Volcker Rule

ESMA Advice on Third-Country Equivalence Under EMIR, II

On 3 September, ESMA published its technical advice to the European Commission on the equivalence of the US and Japanese derivatives frameworks to the EU rules. On 2 October, ESMA supplemented its technical advice with...more

10/22/2013 - Derivatives EMIR Equivalency Determinations ESMA EU European Commission Japan

Basel III Framework: US/EU Comparison

The US and EU rules implementing Basel III follow many aspects of Basel III closely, but there are major differences in approach in several key areas. Financial institutions have been engaged in a “race to the top” to show...more

9/17/2013 - Basel III EU Financial Regulatory Reform

ESMA Advice on Third-Country Equivalence Under EMIR

Clarity to market participants on the equivalence of derivatives rules to European requirements has been much anticipated. On 3 September, ESMA published its technical advice to the European Commission on the equivalence of...more

9/6/2013 - Derivatives EMIR Equivalency Determinations ESMA EU Financial Regulatory Reform

Alert: ESMA Consults on Extraterritoriality

The extraterritorial effect of new financial regulation is a controversial issue, fundamental to the business of banks, brokers, funds and their clients. A consultation paper containing proposed rules on certain...more

8/5/2013 - Cross-Border EMIR ESMA EU European Commission Extraterritoriality Rules

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