Donna Parisi

Donna Parisi

Shearman & Sterling LLP

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Financial Regulatory Developments Focus - October 2014 #5

In this issue: - Bank Prudential Regulation & Regulatory Capital - Derivatives - Recovery & Resolution - Shadow Banking - People - Events - Excerpt from Bank Prudential...more

10/29/2014 - ACH Payments Bank Holding Company Banking Sector Banks CFTC Derivatives EU European Banking Authority European Central Bank European Commission Federal Reserve Final Rules Prudential Regulation Authority Risk Retention SEC Shadow Banking

Credit Risk Retention Rules Finalized

Six federal agencies have finalized long-anticipated joint rules imposing risk retention, or “skin-in-the-game,” requirements for securitizations. The new rules, when they become effective over the next two years, will impose...more

10/24/2014 - Derivatives Dodd-Frank FDIC Federal Reserve FHFA Higher-Risk Securitizations HUD New Regulations OCC Regulation AB Risk Retention SEC Securities Exchange Act Volcker Rule

Financial Regulatory Developments Focus - October 2014 #4

In this issue: - Derivatives - Compensation - Shadow Banking - Bank Prudential Regulation & Regulatory Capital - Recovery & Resolution - Financial Market Infrastructure -...more

10/22/2014 - Banks CFTC Compensation & Benefits Derivatives Financial Regulatory Reform Foreign Banks Infrastructure Major Swap Participants No-Action Relief Prudential Regulation Authority Shadow Banking Swap Dealers Swaps

Financial Regulatory Developments Focus - October 2014 #3

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Recovery & Resolution - Financial Services - Funds - People - Excerpt from...more

10/15/2014 - Banks Basel Committee Broker-Dealer Derivatives ESMA EU European Banking Authority European Central Bank Federal Reserve IOSCO ISDA Prudential Regulation Authority Risk Alert Risk Capital SEC Stress Tests

Financial Regulatory Developments Focus - October 2014 #2

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Recovery & Resolution - Bank Structure - Shadow Banking - Financial Services - Excerpt...more

10/8/2014 - Banks CFTC Compliance DCMs Derivatives Enforcement Enforcement Actions Financial Regulatory Reform No-Action Letters No-Action Relief Prudential Regulation Authority SEFs Swap Dealers Swaps

Financial Regulatory Developments Focus - October 2014

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Recovery & Resolution - Financial Market Infrastructure - Funds - Enforcement - People...more

10/1/2014 - Banks Capital Markets CDS CFTC Derivatives EU European Banking Authority Financial Regulatory Reform Infrastructure Prudential Regulation Authority SEFs Swaps

Basel III Framework: Liquidity Coverage Ratio (US Implementation)

The three US bank regulatory agencies issued a final regulation implementing the Basel III Liquidity Coverage Ratio (LCR) which requires banking organizations to maintain a minimum amount of liquid assets in order to meet...more

9/30/2014 - Banking Crisis Banks Basel III Dodd-Frank EU FDIC Financial Regulatory Reform Liquidity Coverage Ratio OCC U.S. Treasury

Financial Regulatory Developments Focus - September 2014 #4

In this issue: - Derivatives - Compensation - Bank Prudential Regulation & Regulatory Capital - Recovery & Resolution - Credit Ratings - Financial Services - Consumer...more

9/24/2014 - Banks Capital Markets CFTC Compliance Credit Ratings Derivatives Enforcement Enforcement Actions Executive Compensation Financial Regulatory Reform No-Action Relief Prudential Regulation Authority SEFs

Financial Regulatory Developments Focus - September 2014 #3

In this issue: - Derivatives - Consumer Protection - Enforcement - People - Events - Excerpt from Derivatives: CFTC Issues No-Action Relief for Qualifying Swaps Trading...more

9/16/2014 - Australia CEA CFTC Commercial Leases Commodities Derivatives DSIO Enforcement Actions Leases Major Swap Participants Money Transfer No-Action Relief Nonbank Firms Regulation M Regulation Z SEC Swap Dealers Swaps

Scotland: The Succession Event Question

In this note we analyse some of the consequences for sovereign CDS resulting from a vote for Scottish independence. Scotland: The Succession Event Question - A vote for an independent Scotland will have many...more

9/16/2014 - CDS Scotland UK

Financial Regulatory Developments Focus - September 2014 #2

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Financial Services - People - Events - Excerpt from Derivatives: FCA Factsheet on Review...more

9/10/2014 - Banks Capital Markets Derivatives Financial Regulatory Reform Prudential Regulation Authority Regulatory Standards

Financial Regulatory Developments Focus - September 2014

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Credit Ratings - Financial Services - Shadow Banking - Funds - Financial Market...more

9/2/2014 - Banks CFTC Credit Ratings Derivatives Dodd-Frank Enforcement Actions ESMA EU European Banking Authority FCA Financial Markets Financial Regulatory Reform Prudential Regulation Authority SEC Shadow Banking UK

Financial Regulatory Developments Focus - August 2014 #4

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Consumer Protection - People - Excerpt from Derivatives: Regulators Request FSB to Assist in...more

8/26/2014 - Bank Secrecy Act Banking Sector Banks Data Protection Derivatives ESMA EU FSB

Financial Regulatory Developments Focus - August 2014 #3

In this issue: - Bank Prudential Regulation & Regulatory Capital - Recovery & Resolution - Events - Excerpt from Bank Prudential Regulation & Regulatory Capital: EBA Publishes New...more

8/20/2014 - Banking Sector Banks Capital Requirements EU European Banking Authority FDIC Federal Reserve

Financial Regulatory Developments Focus - August 2014 #2

In this issue: - Derivatives - Bank Structure - Recovery & Resolution - Bank Prudential Regulation & Regulatory Capital - Financial Services - Consumer Protection - Funds...more

8/12/2014 - Banks CCPs Derivatives ESMA EU Financial Regulatory Reform Hedge Funds Investment Funds Mutual Funds Prudential Regulation Authority

Financial Regulatory Developments Focus - August 2014

In this issue: - Derivatives - Compensation - Recovery & Resolution - Bank Prudential Regulation and Regulatory Capital - Financial Market Infrastructure - Financial Services...more

8/5/2014 - Banking Sector Banks Capital Markets Derivatives ESMA European Banking Authority FCA Federal Reserve FOMC FX Swaps MiFID Remuneration

Financial Regulatory Developments Focus - July #4

In this issue: - Derivatives - Regulatory Capital - Recovery & Resolution - Bank Structure - Financial Market Infrastructure - Financial Services - Funds -...more

7/31/2014 - Banks Capital Markets CFTC Derivatives EMIR ESMA European Commission Exchange-Traded Products Financial Regulatory Reform Leverage Ratio Market Participants OCR UCITS

Financial Regulatory Developments Focus - July 2014 #3

In this issue: - Derivatives - Compensation - Bank Prudential Regulation and Regulatory Capital - Recovery & Resolution - Credit Ratings - Insurance - Financial Services...more

7/23/2014 - Banking Sector Banks Basel III Capital Markets Credit Ratings Derivatives EMIR Enforcement ESMA EU European Banking Authority European Central Bank European Commission Executive Compensation FDIC Insurance Reform OCC Reporting Requirements Stress Tests

Timing and Scope of EU Clearing Obligation for Derivatives

The European Securities and Markets Authority is consulting on the mandatory clearing obligation for certain derivatives. Draft regulatory technical standards have been published for the mandatory clearing of certain interest...more

7/18/2014 - Clearing Agencies Derivatives EMIR ESMA EU European Commission Financial Regulatory Reform

Financial Regulatory Developments Focus - July 2014 #2

In this issue: - Derivatives - Regulatory Capital - Recovery & Resolution - Financial Services - Consumer Protection - Enforcement - People - Events -...more

7/15/2014 - Banking Sector Banks CFTC Derivatives Draft Guidance EMIR ESMA EU European Banking Authority European Commission No-Action Relief OCC

Recent Diversity Mandates Impacting US Financial Regulators and Financial Institutions on Both Sides of the Atlantic

There has been no shortage of press coverage about the lack of employment diversity in the financial services sector. Now, both the US Congress and the European Union have taken action in an attempt to remedy historical...more

3/4/2014 - Discrimination Diversity Dodd-Frank 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

Actions Required For Hedge Funds Under Derivatives Reforms – Europe Update

The European Market Infrastructure Regulation (EMIR1) imposes new reporting, clearing, collateral and conduct of business requirements on all derivatives market participants which are based in the EU or deal with EU...more

2/12/2014 - Derivatives EMIR ESMA EU Hedge Funds

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

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

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