James Campbell

James Campbell

Shearman & Sterling LLP

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Financial Regulatory Developments Focus - October 2016

Bank Prudential Regulation & Regulatory Capital - US Board of Governors of the Federal Reserve System Releases Proposed Rule to Modify Capital Plan and Stress Testing Rules - On September 26, 2016, the US Board of...more

10/17/2016 - Block Trades BSA/AML Commodities Cross-Border Transactions EU FinTech Foreign Investment MiFID II Securitization SEFs Shadow Banking Stress Tests UK Underwriting Whistleblower Protection Policies

Financial Regulatory Developments Focus - September 2016

In this 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 managers and...more

9/30/2016 - Asset Management Banking Regulators Banking Sector Banks Broker-Dealer EU Financial Crimes Financial Sector Financial Services Industry FinTech Global Market Investment Firms MiFID

Brexit Q&A: Business Implications

On Thursday 23 June 2016, the UK electorate voted to leave the European Union. While this vote was advisory in nature, we expect that ultimately the UK Government and Parliament will respect the outcome and serve notice to...more

6/29/2016 - Acquisition Agreements Article 50 Treaty of the EU Cross-Border Transactions EEA EU EU Directive Financial Markets Foreign Judgments Grandfathered Status Member State Merger Agreements Popular Scotland Trade Relations UK UK Brexit VAT WTO

Financial Regulatory Developments Focus - June 2016 #2

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

6/23/2016 - Annual Reports Bank Holding Company Capital Markets Union Capital Requirements Cybersecurity Dodd-Frank EU EU Market Abuse Regulation (EU MAR) Long-Term Investment Funds No-Action Relief UK

MiFID II Implementation Delayed to 2018

The Council of the European Union has adopted legislation to delay the application of the Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation by one year. This extension is due to...more

6/22/2016 - EU EU Market Abuse Regulation (EU MAR) MiFID II Proposed Amendments SMEs

Financial Regulatory Developments Focus - June 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

6/9/2016 - EU Benchmark Regulation Form 10-K G-SII MiFID II Payday Loans Position Limits Prudential Standards Shadow Banking Stress Tests

Financial Regulatory Developments Focus - May 2016 #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

6/1/2016 - Basel III Beneficial Owner Capital Requirements Cross-Border Transactions Customer Due Diligence (CDD) EU Leverage Ratio Leveraged Lending Margin Requirements Recordkeeping Requirements Regulation Technical Standards (RTS) UCITS UK

Financial Regulatory Developments Focus - May 2016 #2

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

5/18/2016 - Benchmarking Distributed Ledger Insider Trading Liquidity Coverage Ratio Regulatory Standards Senior Managers Yates Memorandum

MiFID II: Access to EU Markets for Third Country Investment Firms

This note discusses the MiFID II regime for access by financial institutions located outside the EU to EU customers and markets. Full harmonisation of the access regime for third country firms has not been achieved. Instead...more

5/9/2016 - Counterparties EEA EU Financial Conduct Authority (FCA) Foreign Investment Fund International Harmonization Member State MiFID II Prudential Regulation Authority

Financial Regulatory Developments Focus - May 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

5/6/2016 - AML-CTF Annuities Asset Management Capital Markets Union Capital Requirements Cross-Border Transactions EU Incentive Compensation Leverage Ratio MiFID II SIFIs UK

Financial Regulatory Developments Focus - April 2016 #2

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

4/15/2016 - Anti-Inversion Regulations EU FBOs Fiduciary Duty Financial Adviser FinTech FSOC Global Systemically Important Financial Institutions (GSIFI) Leverage Ratio MetLife Terrorism Funding UK

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 Blockchain CFTC Corporate Governance Cybersecurity Economic Sanctions EU Federal Reserve Industry Consolidation Maxwellisation Municipal Securities Issuers Natural Gas Remuneration Stress Tests UK

Financial Regulatory Developments Focus - March 2016 #4

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

4/1/2016 - Capital Markets Union EU Eurozone GAAP Interchange Fees MiFID II Mortgage Credit Directive (MCD) Prudential Standards Ring-Fencing SIFIs SMEs UCITS V UK UK Payment Systems Regulator

Financial Regulatory Developments Focus - March 2016 #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

3/25/2016 - BRRD Central Counterparties Cuba Deposit Insurance Derivatives Clearing Organizations Dodd-Frank EU Foreign Exchanges Goldman Sachs Insider Trading Payment Systems Sanctions UK Volcker Rule

Financial Regulatory Developments Focus - March 2016 #2

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

3/18/2016 - Basel Committee Credit Default Swaps EU FDIC Federal Savings Associations International Banks Libor Market Abuse Regulatory Agenda Ring-Fencing SEC Senior Managers Transfer Pricing UK Volcker Rule

Financial Regulatory Developments Focus - March 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

3/3/2016 - Bank Secrecy Act Banking Examinations Cooperation Enforcement Actions EU Money Transfer MREL Payment Systems Stress Tests UK Volcker Rule

Financial Regulatory Developments Focus - February 2016 #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

2/25/2016 - Bailout Banking Examinations Consumer Credit Act Dodd-Frank EU Federal Reserve Financial Crisis G-SII International Remittance Transfers Security-Based Swaps

Abu Dhabi Global Market: Financial Services Regulations and Rules

This note provides a brief overview of Abu Dhabi Global Market’s new financial regulatory framework. This framework was established in 2015, following the publication of the ADGM’s Financial Services and Markets Regulations...more

2/24/2016 - Abu Dhabi Global Markets (ADGM) Regulatory Standards UAE

BRRD: Contractual Recognition of Bail-in and Resolution Stays

The EU Bank Recovery and Resolution Directive gives resolution authorities in Europe wide-ranging powers to manage failing financial institutions. These include powers to write down debts owed to creditors, convert debt to...more

2/23/2016 - BRRD EU FSB

Financial Regulatory Developments Focus - February 2016 #2

Bank Prudential Regulation & Regulatory Capital US Federal Deposit Insurance Corporation Issues Proposed Rule to Facilitate Access to Deposits in Large Bank Failures On February 17, 2016, the US Federal Deposit Insurance...more

2/19/2016 - Anti-Terrorism Financing Central Counterparties EU Federal Reserve Liquidation Payment Systems Regulation C Regulation Technical Standards (RTS) Senior Managers Insurers Regime (SMIR) Stress Tests UK

Formal Proposal to Delay Implementation of MiFID II Package to 2018

The European Commission has proposed to delay the application of the Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation by one year. The proposed extension is due to concerns about the...more

2/12/2016 - Delays EU Financial Markets MiFID II

Financial Regulatory Developments Focus - February 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

2/8/2016 - Anti-Money Laundering Capital Requirements Cybersecurity Deposit Insurance Dodd-Frank FDIC Market Abuse Memorandum of Understanding Mexico Prudential Standards Rating Agencies Regulation Technical Standards (RTS) SEFs South Africa

Financial Regulatory Developments Focus - January 2016 #2

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

1/15/2016 - Accounting Standards Administrative Appointments Banking Sector Civil Monetary Penalty Examination Priorities Market Risk Capital Rule Senior Managers Supervision

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