Geoffrey Goldman

Geoffrey Goldman

Shearman & Sterling LLP

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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 Financial Institutions Investment Funds Investment Management Prudential Regulation Authority UK

Update On Third-Country Equivalence Under EMIR

The European Commission has adopted “equivalence” decisions on the derivatives regulatory regimes for central counterparties in Australia, Hong Kong, Japan and Singapore. Further decisions are awaited for other jurisdictions...more

5/28/2015 - Australia CCPs Derivatives EMIR Equivalency Determinations ESMA EU European Commission Financial Regulatory Reform Hong Kong Japan Singapore Trade Repositories

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

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

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

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

Actions Required Under Derivatives Reforms

The first wave of financial regulatory change affecting banks, brokers and their users is in the field of derivatives. Various deadlines for new reporting, clearing and conduct of business requirements are imminent. The...more

7/31/2013 - Banks Brokers Collateral Derivatives EMIR ESMA Hedge Funds OTC

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