Nathan Greene

Nathan Greene

Shearman & Sterling LLP

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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

Securities Enforcement 2015 Year-End Review

The Securities and Exchange Commission (the SEC or the Commission) filed a record 807 enforcement actions in fiscal year 2015, 52 more than it filed in 2014. It also set a record by obtaining approximately $4.2 billion in...more

2/4/2016 - Administrative Hearings Chief Compliance Officers Cybersecurity Enforcement Statistics Insider Trading SEC Securities Fraud US v Newman Whistleblowers

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

SEC Proposes New Derivatives Rules for Registered Funds

A rule proposed by the US Securities and Exchange Commission would provide for new limits on the use of derivatives—together with new risk management measures—for SEC registered investment companies. All funds registered...more

1/12/2016 - Derivatives Investment Funds Proposed Regulation Rule 18f-4 SEC

Financial Regulatory Developments Focus - January 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

1/7/2016 - Banking Sector Debt Financing Due Diligence EBA EU Eurozone FinCEN MiFID II

Financial Regulatory Developments Focus - December 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

12/28/2015 - Banking Sector EU G-SIB MiFID II Shadow Banking Stress Tests Truth in Lending Act (TILA) UK

Financial Regulatory Developments Focus - December 2015 #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

12/17/2015 - Banking Sector EU Financial Markets Hedge Funds MiFID II Money Laundering Recovery Plans Risk Assessment Shadow Banking UK

Financial Regulatory Developments Focus - December 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

12/3/2015 - Anti-Money Laundering Barclays Bribery EU Liquidity Stress Tests Transparency Virtual Currency

Financial Regulatory Developments Focus - November 2015 #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

11/25/2015 - Corporate Governance Credit Ratings Cybersecurity Financial Regulatory Reform Financial Sector

Financial Regulatory Developments Focus - November 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

11/23/2015 - Banking Sector Basel Committee G20 Investment Schemes Shadow Banking

Financial Regulatory Developments Focus - November 2015 #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

11/16/2015 - Banking Crisis Clearing Members Deutsche Bank G-SII Market Abuse Prudential Regulation Authority SEFs Stress Tests Volcker Rule

Financial Regulatory Developments Focus - November 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

11/4/2015 - Banking Sector Confidential Information Consumer Lenders Crowdfunding Federal Reserve Financial Institutions FSB G-SIB Prudential Regulation Authority Risk Management SEC Shadow Banking UK UK Competition and Markets Authority (CMA)

Financial Regulatory Developments Focus - October 2015 #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

10/30/2015 - Abu Dhabi Global Markets (ADGM) Anti-Money Laundering Anti-Terrorism Financing Banking Sector Capital Requirements Consultation Deposit Insurance Enforcement Actions EU European Commission MiFID II Prudential Regulation Authority SEC

Financial Regulatory Developments Focus - October 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

10/21/2015 - Banking Examinations Banking Sector Certifications Depository Institutions Federal Reserve Financial Institutions G-SII MiFID II Private Equity Prudential Regulation Authority Ring-Fencing SEC Senior Managers TILA-RESPA Integrated Disclosure Rule (TRID) UK

Financial Regulatory Developments Focus - October 2015 #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

10/15/2015 - Banking Sector Capital Requirements Clearing Agencies EU European Central Bank Federal Reserve Financial Institutions Investment Funds Payment Systems Regulation P Regulation Technical Standards (RTS) Regulatory Standards SEC Securitization Vehicles Structured Financial Products Transparency Whistleblower Protection Policies

Financial Regulatory Developments Focus - October 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

10/7/2015 - Acquisitions Banking Sector Credit Rating Agencies Crowdfunding Electronic Reporting EU Financial Institutions Liquidity Risk Management Rule No-Action Relief Prudential Regulation Authority Regulatory Agencies Stress Tests UK

Significant SEC Rulemaking to Address Liquidity of Mutual Fund Portfolios

On September 22, 2015, a unanimous U.S. Securities and Exchange Commission proposed far-reaching rule reforms intended to address liquidity risks in the mutual fund industry. The agency’s preamble indicates it was prompted by...more

10/2/2015 - ETFs Liquidity Liquidity Risk Management Rule Mutual Funds NAV Rulemaking Process SEC

Financial Regulatory Developments Focus - September 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

10/1/2015 - Banking Sector BitLicense Broker-Dealer Capital Requirements Cybersecurity ESMA EU European Banking Authority European Securities and Markets Authority Investment Funds Regulatory Standards SEC Supervision Virtual Currency

Financial Regulatory Developments Focus - September 2015 #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

9/23/2015 - Banking Sector Corporate Governance Derivatives FDIC Financial Institutions Financial Markets Investment Funds Prudential Regulation Authority Regulatory Standards Securities UK

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 #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

9/11/2015 - Bank of America Banking Sector Capital Markets Capital Requirements Code of Conduct Cybersecurity ESMA EU Financial Institutions Financial Markets G20 MiFID II Prudential Standards Shadow Banking Technical Standards UCITS UK

Financial Crimes Enforcement Network: Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for...

On August 25, 2015, the U.S. Financial Crimes Enforcement Network (“FinCEN”), the bureau of the Department of the Treasury with principal responsibility for implementing anti-money laundering rules and regulations, issued a...more

9/9/2015 - Anti-Money Laundering Bank Secrecy Act BSA/AML FinCEN Investment Adviser SAR SEC

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 ESMA EU European Central Bank Financial Markets Forex IAIS Liquidity Market Participants MiFID NFA

Financial Regulatory Developments Focus - August 2015 #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

8/26/2015 - Administrative Appointments Banking Sector Broker-Dealer Citigroup Derivatives EU European Commission Financial Institutions Financial Markets Fraud Hedge Funds Investment Adviser Leverage Ratio Payment Systems Prudential Regulation Authority SEC Securities Fraud

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

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