Robert Treuhold

Robert Treuhold

Shearman & Sterling LLP

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SEC Adopts Credit Rating Agency Reform Rules

On August 27, 2014, the SEC adopted new rules for credit rating agencies implementing 14 rulemaking requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). The new rules are designed...more

9/9/2014 - Credit Rating Agencies Dodd-Frank New Regulations NRSRO Rulemaking Process SEC

Governance & Securities Law Focus: Asia Edition

In this issue: - ASIAN DEVELOPMENTS - HKEx Publishes Revised Connected Transaction Rules - US DEVELOPMENTS - SEC Developments - PCAOB Adopts Auditing Standard and Amendments -...more

7/16/2014 - Asia Audits Corporate Social Responsibility DOJ Employee Benefits Enforcement Enforcement Actions ESMA EU European Commission HKEx MiFID OTC PCAOB SEC UK

Governance & Securities Law Focus: Europe Edition

In this issue: - EU DEVELOPMENTS - Statutory Audit Directive and Regulation Published in Official Journal - Council Adopts Intra-Corporate Transferees Directive - ESMA Publishes Consultation and...more

7/14/2014 - Audits Corporate Governance Corporate Social Responsibility Derivatives EMIR ESMA EU MiFID OTC Prospectus Shareholder Rights Shareholders

SEC Staff Issues Statement on Effect of Court Decision on Conflict Minerals Rule

On April 29, 2014, the SEC Division of Corporation Finance (the “Division”) issued a statement on the effect of a recent decision by the US Court of Appeals for the District of Columbia Circuit (the “Court”) on the SEC’s...more

4/30/2014 - Conflict Mineral Rules Minerals SEC Securities Exchange Act

SEC Staff Issues Additional Guidance on Conflict Minerals

On April 7, 2014, the SEC Division of Corporation Finance (the Division) issued responses to nine frequently asked questions (FAQs) on the reporting requirements regarding conflict minerals originating in the Democratic...more

4/14/2014 - Audits Conflict Mineral Rules SEC

Governance & Securities Law Focus: Latin America Edition

In this issue: - US Developments - Global Development - EU Developments - Developments Specific To Financial Institutions - Excerpt from US Development: SEC Developments - Iran...more

2/24/2014 - Banks Compliance Corporate Governance Foreign Banks Iran SEC

Governance & Securities Law Focus: Europe Edition, January 2014

In this issue: - EU Developments - Italian Developments - UK Developments - US Developments - Asian Developments - International Financial Markets Regulation Developments -...more

1/28/2014 - Corporate Governance ETFs EU Securities UCITS

Iran Notices Update: SEC-Registered Issuers Continue to Adapt to Their New Normal

It has been over eight months since SEC-registered issuers began making mandatory disclosures of business activities in or with Iran. During that period, issuers have filed over 400 Iran Notices with the SEC, including...more

11/5/2013 - Iran Iran Sanctions OFAC SEC

Governance & Securities Law Focus - October 2013

In this issue: - ASIAN DEVELOPMENTS - HKEx publishes Amended Listing Rules to Complement the New IPO Sponsor Regime - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law...more

10/22/2013 - Corporate Governance DOJ EMIR Enforcement Actions Equivalency Determinations ESMA EU European Commission IPO IPO Sponsors PCAOB Reporting Requirements SEC Short Sales Swap Clearing

Governance & Securities Law Focus: Europe Edition, October 2013

In this issue: - EU Developments - Opinion on ESMA’s Powers under the Short Selling Regulation - ESMA Publishes Third Country Advice on Equivalence - ESMA Consults on the Clearing...more

10/16/2013 - Corporate Governance EMIR ESMA EU Extraterritoriality Rules Fraud Short Sales

Court Upholds SEC Rule on Conflicts Minerals

On July 23, 2013, the US District Court for the District of Columbia found “no problems with the SEC’s rulemaking” by its adoption of the Conflict Minerals Rule pursuant to Section 1502 of the Dodd-Frank Wall Street Reform...more

7/25/2013 - Conflict Mineral Rules Dodd-Frank First Amendment Free Speech Minerals Natural Resources Resource Extraction SEC

Governance & Securities Law Focus: Asia Edition, July 2013

In this issue: ASIAN DEVELOPMENTS - - HKEx Launches Consultation on Reform of Connected Transaction Rules US DEVELOPMENTS - - SEC Developments - Noteworthy US Securities Law...more

7/16/2013 - China DOJ EMIR Employee Benefits Employer Mandates Enforcement Actions ESMA EU European Commission Financial Conduct Authority Risk Management SEC Securities Litigation

SEC Adopts Rule Changes Allowing General Solicitation in Private Placements Under Rule 506 of Regulation D and Rule 144A

On July 10, 2013, the US Securities and Exchange Commission (the “SEC”) adopted rule changes that will permit general solicitation and general advertising in securities offerings under Rule 506 of Regulation D and Rule 144A....more

7/15/2013 - Advertising Dodd-Frank General Solicitation JOBS Act Marketing Private Placements Rule 144A Rule 506 Offerings SEC

Governance & Securities Law Focus: Europe Edition - April 2013

In This Issue: - EU DEVELOPMENTS ..European Securities and Markets Authority (“ESMA”) Publishes an Update of the Committee of European Securities Regulators (“CESR”) Recommendations Regarding Mineral...more

4/9/2013 - Anti-Money Laundering Corporate Governance Corporate Social Responsibility ESMA EU European Commission Prospectus Proxy Advisors

What’s Going On – Over A Month Of Section 219 Disclosures Under The Iran Threat Reduction And Syria Human Rights Act Of 2012

Section 219 (codified as Section 13(r) of the Securities Exchange Act) has been in effect for six weeks. During this time, more than 100 SEC-registered reporting issuers have made required disclosures regarding their Iran or...more

3/20/2013 - Iran Threat Reduction and Syria Human Rights Act Reporting Requirements

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