Donna Parisi

Donna Parisi

Shearman & Sterling LLP

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CFTC Adopts Final Rules Regarding the Cross-Border Application of Its Swap Margin Requirements

On May 24, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) adopted a final rule defining the cross border application of its margin requirements for uncleared swaps. The final rule covers all swap dealers and...more

6/9/2016 - CFTC Cross-Border Final Rules Margin Requirements Swaps

Financial Regulatory Developments Focus - April 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

4/11/2016 - Asset Management Block Chain CFTC Corporate Governance Cybersecurity Economic Sanctions EU Federal Reserve Industry Consolidation Maxwellisation Municipal Securities Issuers Natural Gas Remuneration Stress Tests UK

CFTC’s Publication of Largest Whistleblower Award Follows Increased Focus on Whistleblowing Initiatives

On April 4, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) announced the issuance of a whistleblower award of more than $10 million for original information that it said led to a major enforcement action over...more

4/6/2016 - CFTC Commodities Exchange Act Dodd-Frank Whistleblower Awards

Financial Regulatory Developments Focus - September 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

9/16/2015 - Banking Sector Bitcoin Capital Markets CFTC Deposit Guarantee System Depository Institutions EU European Banking Authority Financial Institutions NFA Payment Systems Prudential Regulation Authority Registration Requirement RMBS SEC Swap Execution Facilities Swaps

Financial Regulatory Developments Focus - September 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

9/2/2015 - Banking Sector Capital Markets Central Counterparties CFTC Corporate Governance EU European Central Bank European Securities and Markets Authority (ESMA) Financial Markets Forex IAIS Liquidity Market Participants MiFID NFA

EU Clearing Obligation for Interest Rate Swaps Looms

Implementation of the obligation for central clearing of OTC derivatives under the European Market Infrastructure Regulation now seems imminent. The European Commission has adopted a Delegated Regulation that would impose a...more

8/24/2015 - CFTC Clearing Agencies Counterparties Derivatives EMIR EU European Commission Interest Rate Swaps ISDA Libor

Financial Regulatory Developments Focus - August 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

8/19/2015 - Administrative Appointments Banking Sector CFPB CFTC Competition Authorities Derivatives Enforcement Actions European Banking Authority Federal Reserve OCC Prudential Regulation Authority Prudential Standards UK

Financial Regulatory Developments Focus - July 2015 #5

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

7/29/2015 - Banking Sector CFTC Derivatives Financial Conduct Authority (FCA) Financial Institutions Investment Funds Investment Management Prudential Regulation Authority UK

CFTC Proposes New Approach to the Cross-Border Application of Margin Requirements

The US Commodity Futures Trading Commission (“CFTC”) has taken another step in refining its framework for cross-border activities, with a new set of proposed rules applicable to the cross-border application of margin...more

7/15/2015 - CFTC Commodities Cross-Border Transactions Margin Requirements Prudential Regulation Authority Rulemaking Process Swap Dealers Swaps

Financial Regulatory Developments Focus - June 2015 #4

In This Issue: - Board of Governors of the Federal Reserve System Approves Final Rule Amending Regulation D - US Federal Banking Agencies Finalize Revisions to the Capital Rules Applicable to Advanced...more

6/25/2015 - Banking Sector Basel Committee CFTC Community Banks Escheat EU European Banking Authority FDIC Federal Reserve Financial Conduct Authority (FCA) Foreclosure Futures Mortgage Servicers OCC Regulation D Regulatory Agencies Regulatory Agenda Technical Standards

Financial Regulatory Developments Focus - June 2015 #3

In This Issue: - US Financial Stability Oversight Council Releases Guidance Regarding Calculations of Stage 1 Threshold - US Federal Agencies Issue Final Standards for Assessing Diversity Policies and Practices of...more

6/17/2015 - Automotive Loans CFPB CFTC Credit Unions Derivatives Diversity DMO Dodd-Frank Endangered Species Act (ESA) EU FDIC Federal Reserve FICC Financial Institutions Financial Markets Foreign Banks FSOC FX Swaps Non-Bank Lenders OTC SEC Threshold Requirements Volcker Rule

Financial Regulatory Developments Focus - May 2015

In this issue: - US Federal Banking Agencies Issue Guidance on Regulation Z and Regulation X - European Banking Authority Consults on Identification Methodology for Global Systemically Important Institutions...more

5/6/2015 - Banking Sector CFTC European Securities and Markets Authority (ESMA) Financial Institutions New Regulations Prudential Regulation Authority Regulatory Agenda SEC

Financial Regulatory Developments Focus - April 2015 #4

In this issue: - Federal Deposit Insurance Corporation Seeks Comment on Potential New Deposit Account Records Requirements for Banks with a Large Number of Deposit Accounts - Basel Committee Removes Selected...more

4/30/2015 - Banking Sector Basel Committee CFTC Corporate Criminal Fines Deutsche Bank Enforcement Actions FDIC FSB Libor Major Swap Participants Merrill Lynch MiFID II Prudential Regulation Authority Prudential Standards SEFs Virtual Currency

Financial Regulatory Developments Focus - April 2015

In this issue: - US Banking Agencies Issue FAQs on the Regulatory Capital Rule - US Banking Agencies Permit Wells Fargo to Begin Using Advanced Approaches Framework - Regulation on Reporting of...more

4/8/2015 - Banking Sector CFTC EU European Banking Authority Financial Institutions Prudential Regulation Authority Regulatory Agenda Regulatory Standards Supervision Wells Fargo

Financial Regulatory Developments Focus - March 2015 #4

In this issue: - Bank Prudential Regulation & Regulatory Capital - Regulations on Methodology for Calculation of Fixed Costs by Investment Firms - UK Bank of England Announces Details of 2015 Stress...more

4/1/2015 - Bank of England Banking Sector Banks CFPB CFTC Credit Rating Agencies Financial Conduct Authority (FCA) Payday Loans Payment Systems Prudential Regulation Authority SEC Stress Tests UK

Financial Regulatory Developments Focus - March 2015 #2

In this issue: - Federal Reserve Board Releases Results for 2015 Comprehensive Capital Analysis and Review - Revised List of Validation Rules Issued by European Banking Authority for Supervisory Reporting...more

3/18/2015 - Banking Sector CFTC Commerzbank EEA European Banking Authority Federal Reserve Regulatory Agenda Stress Tests Supervision

Financial Regulatory Developments Focus - March 2015

In this issue: - Federal Reserve Board Releases Results for Dodd-Frank Annual Stress Tests - The US Federal Reserve Board Extends Comment Period for Global Systemically Important Banks Surcharge -...more

3/12/2015 - Banking Sector Banks CFTC Dodd-Frank European Banking Authority Federal Reserve Financial Markets Regulatory Agenda Stress Tests UK

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

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 #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

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