Sam Whitaker

Sam Whitaker

Shearman & Sterling LLP

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Implementation Issues Arising from the Revised UK Senior Manager and Certification Regime

The UK Government recently announced that it would introduce a new statutory duty of responsibility on senior managers in all financial institutions and repeal the presumption of responsibility that would have applied to...more

11/3/2015 - Banking Sector EEA Financial Institutions FSMA Investment Funds Prudential Regulation Authority Senior Managers Insurers Regime (SMIR) UK UK Bribery Act

The EU Bonus Cap and Restrictions on the Use of Role Based Fixed Allowances

On 15 October 2014 the European Banking Authority (“EBA”) issued a report on the use of role-based fixed allowances by various financial institutions within the European Union (“EU”) affected by the EU bonus ratio cap....more

10/20/2014 - Bonuses C-Suite Executives EU European Banking Authority Remuneration

Recent Diversity Mandates Impacting US Financial Regulators and Financial Institutions on Both Sides of the Atlantic

There has been no shortage of press coverage about the lack of employment diversity in the financial services sector. Now, both the US Congress and the European Union have taken action in an attempt to remedy historical...more

3/4/2014 - Discrimination Diversity Dodd-Frank EU Financial Regulatory Reform

The EU Reaches a Deal on the Proposed Ratio Cap on Bank Bonuses

On 27 February 2013 the European Union (“EU”) reached a provisional deal on imposing a cap on the variable remuneration that can be paid by financial institutions in the EU. If, as expected, this provisional deal is formally...more

3/1/2013 - Basel III Bonuses Corporate Bonuses EU

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