Russell Sacks

Russell Sacks

Shearman & Sterling LLP

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Financial Regulatory Developments Focus - August 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

8/12/2015 - Banking Sector Capital Requirements Commodity Futures Contracts Derivatives EU Financial Institutions Major Swap Participants Pay Ratio Prudential Standards Regulatory Standards Security-Based Swaps UK

Governance & Securities Law Focus: Latin America Edition - August 2015

This newsletter provides a snapshot of the principal US and selected global governance and securities law developments during the second quarter of 2015 that may be of interest to Latin American corporations and financial...more

8/7/2015 - Corporate Governance Enforcement Actions EU European Securities and Markets Authority (ESMA) Executive Compensation Financial Reporting Italy SEC

Financial Regulatory Developments Focus - August 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

8/5/2015 - Banking Sector European Banking Authority Federal Reserve Financial Conduct Authority (FCA) Financial Institutions Financial Markets Investment Funds Prudential Regulation Authority Regulatory Agenda

FINRA Requests Comment on Proposed Rule Requiring Delivery of FINRA Disclosure Document to Customers of Transferring...

On May 27, 2015, FINRA solicited comment on a proposed rule (the “proposed rule”) that would require a firm to which a representative has recently transferred to provide material prepared by FINRA (the “FINRA Disclosure...more

8/3/2015 - Comment Period Compensation Agreements Disclosure Requirements Employment Contract FINRA Proposed Regulation Transfers

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 (FCA) Financial Institutions Investment Funds Investment Management Prudential Regulation Authority UK

Financial Regulatory Developments Focus - July 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

7/21/2015 - Asset Management Banking Sector Broker-Dealer Capital Requirements EU Financial Institutions G-SIB Investment Firms Regulatory Agencies Regulatory Agenda Ring-Fencing Stress Tests Volcker Rule

Financial Regulatory Developments Focus - July 2015 #3

In this issue: - US Federal Deposit Insurance Corporation Issues Notice of Proposed Rulemaking to Revise How Small Banks are Assessed for Deposit Insurance - UK Prudential Regulation Authority Consults on...more

7/16/2015 - Asset Management Banking Sector Broker-Dealer Corporate Governance Credit Ratings Cybersecurity EU Financial Institutions Global Market Prudential Regulation Authority Prudential Standards Regulatory Agenda UK

CFTC Proposes New Approach to the Cross-Border Application of Margin Requirements

The US Commodity Futures Trading Commission (“CFTC”) has taken another step in refining its framework for cross-border activities, with a new set of proposed rules applicable to the cross-border application of margin...more

7/15/2015 - CFTC Commodities Cross-Border Transactions Margin Requirements Prudential Regulation Authority Rulemaking Process Swap Dealers Swaps

Financial Regulatory Developments Focus - July 2015

In this issue: - US Federal Reserve Board Implements Changes to the Name Check Process for Domestic and International Banking Applications - US Federal Reserve Board Grants Financial Holding Company Status to South...more

7/1/2015

Financial Regulatory Developments Focus - June 2015 #4

In This Issue: - Board of Governors of the Federal Reserve System Approves Final Rule Amending Regulation D - US Federal Banking Agencies Finalize Revisions to the Capital Rules Applicable to Advanced...more

6/25/2015 - Banking Sector Basel Committee CFTC Community Banks Escheat EU European Banking Authority FDIC Federal Reserve Financial Conduct Authority (FCA) Foreclosure Futures Mortgage Servicers OCC Regulation D Regulatory Agencies Regulatory Agenda Technical Standards

Financial Regulatory Developments Focus - June 2015 #3

In This Issue: - US Financial Stability Oversight Council Releases Guidance Regarding Calculations of Stage 1 Threshold - US Federal Agencies Issue Final Standards for Assessing Diversity Policies and Practices of...more

6/17/2015 - Automotive Loans CFPB CFTC Credit Unions Derivatives Diversity DMO Dodd-Frank Endangered Species Act (ESA) EU FDIC Federal Reserve FICC Financial Institutions Financial Markets Foreign Banks FSOC FX Swaps Non-Bank Lenders OTC SEC Threshold Requirements Volcker Rule

Financial Regulatory Developments Focus - June 2015

In This Issue: - US Board of Governors of the Federal Reserve System Proposes Rule to Treat US Municipal Securities as Level 2B High-Quality Liquid Assets under the Liquidity Coverage Ratio - US Financial...more

6/4/2015 - Banking Sector Capital Requirements Central Counterparties EU Federal Reserve Financial Institutions Financial Markets Investment Funds Municipal Securities Issuers Prudential Regulation Authority Regulatory Agencies Regulatory Agenda Stress Tests Structured Financial Products UCITS

Financial Regulatory Developments Focus - May 2015 #3

In This Issue: - Application of EU Requirements for Remuneration Policies for Small and Non-Complex Firms Confirmed - US Regulators Issue the Final Interpretation on Forward Contracts with Embedded Volumetric...more

5/21/2015 - Banking Sector Capital Requirements Derivatives EU European Banking Authority European Securities and Markets Authority (ESMA) FDIC Interest Rate Swaps OCC Securitization Market SIFIs Technical Standards

Financial Regulatory Developments Focus - May 2015 #2

In this issue: - US Federal Reserve Board Releases Semiannual Report on Banking Applications Activity - European Banking Authority Monitors Additional Tier 1 Capital Instruments - European Banking...more

5/14/2015 - Banking Sector Counterparties Credit Ratings EU European Banking Authority Federal Reserve Harmonization Rules Prudential Regulation Authority SEC Securitization Market Tick Size

Financial Regulatory Developments Focus - May 2015

In this issue: - US Federal Banking Agencies Issue Guidance on Regulation Z and Regulation X - European Banking Authority Consults on Identification Methodology for Global Systemically Important Institutions...more

5/6/2015 - Banking Sector CFTC European Securities and Markets Authority (ESMA) Financial Institutions New Regulations Prudential Regulation Authority Regulatory Agenda SEC

Financial Regulatory Developments Focus - April 2015 #4

In this issue: - Federal Deposit Insurance Corporation Seeks Comment on Potential New Deposit Account Records Requirements for Banks with a Large Number of Deposit Accounts - Basel Committee Removes Selected...more

4/30/2015 - Banking Sector Basel Committee CFTC Corporate Criminal Fines Deutsche Bank Enforcement Actions FDIC FSB Libor Major Swap Participants Merrill Lynch MiFID II Prudential Regulation Authority Prudential Standards SEFs Virtual Currency

Governance & Securities Law Focus: Latin America Edition - April 2015

In this issue: - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - Executive Compensation & Employee Benefits Developments - Adoption of...more

4/23/2015

Financial Regulatory Developments Focus - April 2015 #3

In this issue: - US Federal Reserve Board Outlines Organizational Structure of the Large Institution Supervision Coordinating Committee - Final EU Regulations on Calculation of Margin Periods of Risk -...more

4/22/2015 - Banking Sector CFPB EU European Banking Authority Federal Reserve FSB G20 OFAC Prudential Regulation Authority Regulatory Agenda Supervision

Financial Regulatory Developments Focus - April 2015 #2

In this issue: - US Federal Reserve Board Expands Applicability of Small Bank Holding Company Policy Statement - US Federal Reserve Board Requests Public Comment on Proposed Amendments to Regulation D -...more

4/15/2015 - Bank Holding Company Community Banks EU European Banking Authority Federal Reserve FSB IMF Proposed Amendments Regulation D Shadow Banking Supervision

Financial Regulatory Developments Focus - April 2015

In this issue: - US Banking Agencies Issue FAQs on the Regulatory Capital Rule - US Banking Agencies Permit Wells Fargo to Begin Using Advanced Approaches Framework - Regulation on Reporting of...more

4/8/2015 - Banking Sector CFTC EU European Banking Authority Financial Institutions Prudential Regulation Authority Regulatory Agenda Regulatory Standards Supervision Wells Fargo

Financial Regulatory Developments Focus - March 2015 #4

In this issue: - Bank Prudential Regulation & Regulatory Capital - Regulations on Methodology for Calculation of Fixed Costs by Investment Firms - UK Bank of England Announces Details of 2015 Stress...more

4/1/2015 - Bank of England Banking Sector Banks CFPB CFTC Credit Rating Agencies Financial Conduct Authority (FCA) Payday Loans Payment Systems Prudential Regulation Authority SEC Stress Tests UK

Financial Regulatory Developments Focus - March 2015 #2

In this issue: - Federal Reserve Board Releases Results for 2015 Comprehensive Capital Analysis and Review - Revised List of Validation Rules Issued by European Banking Authority for Supervisory Reporting...more

3/18/2015 - Banking Sector CFTC Commerzbank EEA European Banking Authority Federal Reserve Regulatory Agenda Stress Tests Supervision

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