Jared Gianatasio

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 - April 1, 2014

In this issue: - Derivatives - Bank Structure - Compensation - Regulatory Capital - Financial Services - Funds - Consumer Protection - Enforcement -...more

4/2/2014 - Banks Derivatives Executive Compensation Self-Regulatory Organizations

Financial Regulatory Developments Focus - March 25, 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Market Infrastructure - Funds Enforcement - Events Hearings - People - Excerpt from...more

3/25/2014 - CFTC Corporate Bonuses Derivatives Dodd-Frank Executive Compensation No-Action Relief Private 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

Dodd-Frank: Enhanced Supervision Becomes Final

The Federal Reserve’s proposed requirements for large US and non-US banking organizations to comply with enhanced supervisory requirements, required by Section 165 of the Dodd-Frank Wall Street Reform and Consumer Protection...more

3/12/2014 - Dodd-Frank Federal Reserve Regulation YY Supervision

Financial Regulatory Developments Focus - March 4, 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Funds - Enforcement - Events - Excerpt from Derivatives: Common Data Format for Pre-LOUs for the...more

3/5/2014 - Derivatives Enforcement Financial Regulatory Reform Securities Litigation

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 25, 2014

In this issue: - Regulatory Capital - Financial Services - Funds - Enforcement - Events - People - Excerpt from Regulatory Capital: EBA Publishes Draft RTS on Bankers' Bonuses - On...more

2/25/2014

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

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

Financial Regulatory Developments Focus - February 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Hearings - Excerpt from Derivatives: FSB Consults on Approaches to Aggregate OTC Derivatives Data On 4...more

2/11/2014 - Derivatives Financial Regulatory Reform FSB IOSCO OTC Risk Management

Basel III Framework: Net Stable Funding Ratio (Proposed Standards)

A key new element of the Basel III framework for regulatory capital aims to improve banks’ management of their funding and liquidity profiles. Two new measures are proposed: a “net stable funding ratio,” and a “liquidity...more

2/7/2014 - Banks Basel III Funding Liquidity Coverage Ratio

Basel III Framework: The Leverage Ratio

Reducing excess “leverage” in the banking sector is a key component of the Basel III capital standards. “Leverage” for these purposes means the ratio between a bank’s non-risk-weighted assets and its capital. The ratio is...more

2/6/2014 - Banks Basel Committee Basel III Foreign Banks Leverage Capital Ratio

Financial Regulatory Development Focus

In this issue: - Derivatives - Regulatory Capital - Financial Services - Consumer Protection - Enforcement - Funds - People - Events - Hearings - Excerpt...more

2/4/2014 - CCPs Derivatives EMIR Enforcement ESMA Financial Regulatory Reform

CFTC Adopts Harmonization Rules for CPOs of Registered Investment Companies

The US Commodity Futures Trading Commission (“CFTC”) has adopted widely anticipated rules regarding the application of its commodity pool operator (“CPO”) regulatory regime to CPOs of registered investment companies...more

8/23/2013 - CFTC CPO International Harmonization Investment Funds Registration

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

CFTC Grants No-Action Relief From Clearing Requirement for Certain Treasury Affiliates

On June 4, 2013, the Division of Clearing and Risk (the “Division”) of the US Commodity Futures Trading Commission (the “CFTC”) granted limited no-action relief from the mandatory clearing requirement for swaps entered into...more

6/6/2013 - Affiliates CFTC Commercial End-User Exception Dodd-Frank No-Action Relief Swap Clearing

CFTC Swap Reporting No-Action Relief Granted; Other Dodd-Frank Deadlines Approaching

On April 9, 2013, the US Commodity Futures Trading Commission (the “CFTC”) granted last minute no-action relief from portions of the CFTC’s swap reporting rules. The relief delays certain compliance deadlines for many swap...more

4/15/2013 - CFTC Dodd-Frank No-Action Relief Reporting Requirements Swaps

Life After CPO Registration: Select CFTC and NFA Compliance Obligations that Lie Ahead

Over the last few months, an exceptional number of investment management firms have either registered or prepared to register with the Commodity Futures Trading Commission (“CFTC”) as “commodity pool operators” (“CPOs”). Many...more

3/11/2013 - CFTC CPO Disclosure Requirements NFA Recordkeeping Requirements Registration

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