Tobia Croff

Tobia Croff

Shearman & Sterling LLP

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Implications for Bank Creditors: the Latest EU Banking Reform Proposals

The European Commission recently announced an extensive package of banking reform proposals. Of particular interest to bank creditors, proposed amendments to the Bank Recovery and Resolution Directive aim to amend the...more

12/7/2016 - Bail-In Provisions Banking Sector BRRD Debt Instruments EU

Governance & Securities Law Focus: Asia Edition - October 2016

In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see...more

10/27/2016 - Asia Corporate Governance EU EU Market Abuse Regulation (EU MAR) Germany Hong Kong Stock Exchange IPO Italy Person of Significant Control (PSC Register) Prospectus Shenzhen Stock Exchange (SZSE) Stock Connect Takeover Bids

Updated Non-GAAP Guidance: The First 150 Comment Letters

In May of this year, the staff of the SEC’s Division of Corporation Finance updated its C&DIs regarding the use of non-GAAP financial measures. We summarized the May 2016 update in an earlier client publication. Since the...more

10/20/2016 - C&DIs GAAP Non-GAAP Financial Measures SEC SEC Comment Letter Process

Governance & Securities Law Focus: Europe Edition, October 2016

In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates. Please see full Newsletter below for more...more

10/18/2016 - Corporate Counsel Corporate Governance EU Germany Hong Kong Hong Kong Stock Exchange Initial Public Offerings Insider Trading Italy Market Abuse Person of Significant Control (PSC Register) Prospectus Proxy Advisors Stock Connect Takeover Bids UK

Financial Regulatory Developments Focus - October 2016

Bank Prudential Regulation & Regulatory Capital - US Board of Governors of the Federal Reserve System Releases Proposed Rule to Modify Capital Plan and Stress Testing Rules - On September 26, 2016, the US Board of...more

10/17/2016 - Block Trades BSA/AML Commodities Cross-Border Transactions EU FinTech Foreign Investment MiFID II Securitization SEFs Shadow Banking Stress Tests UK Underwriting Whistleblower Protection Policies

Financial Regulatory Developments Focus - September 2016

In this 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 managers and...more

9/30/2016 - Asset Management Banking Regulators Banking Sector Banks Broker-Dealer EU Financial Crimes Financial Sector Financial Services Industry FinTech Global Market Investment Firms MiFID

EU General Data Protection Regulation: Are You Prepared?

On April 27, 2016 the European Council and Parliament adopted a new data protection law: the General Data Protection Regulation (GDPR). The following briefing is a summary of key issues and a checklist of initial tasks to...more

8/16/2016 - EU General Data Protection Regulation (GDPR) Member State Personal Data Popular Recordkeeping Requirements Risk Assessment Risk Management

Brexit and Equivalence: Review of the Financial Services Framework Across All Sectors

Since the UK voted to leave the EU on 23 June 2016, there has been much speculation about the form of the future access arrangements between the UK and the EU for financial institutions. In a scenario where no new deal is...more

8/10/2016 - Corporate Counsel Cross-Border Transactions EU Financial Institutions Popular Third Country Entities UK UK Brexit

Governance & Securities Law Focus: Asia Edition, July 2016

In this newsletter, we provide a snapshot of the principal US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see full...more

7/26/2016 - Admissions Beneficial Owner Corporate Counsel EU EU Market Abuse Regulation (EU MAR) Foreign Corporations Hong Kong Stock Exchange Information Reports Initial Public Offerings Person of Significant Control (PSC Register) Prospectus SMEs Transparency UK Brexit Young Lawyers

Governance & Securities Law Focus: Europe Edition, July 2016

In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates. Please see full Newsletter below for more...more

7/20/2016 - Admissions AIM Beneficial Owner Corporate Governance EU EU Market Abuse Regulation (EU MAR) Financial Conduct Authority (FCA) Initial Public Offerings International Financial Reporting Standards MiFID II UK UK Brexit UK Bribery Act

SEC Proposes Streamlining Disclosure Requirements - Proposal Contains Mostly Technical Changes with Limited Impact on the...

In a 318-page release published on July 13, 2016, the SEC is proposing a number of technical amendments to disclosure requirements for SEC filers that it believes have become outdated or are identical or similar to...more

7/15/2016 - Disclosure Requirements GAAP IFRS Regulation S-K Regulation S-X SEC

Financial Regulatory Developments Focus - June 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

6/23/2016 - Annual Reports Bank Holding Company Capital Markets Union Capital Requirements Cybersecurity Dodd-Frank EU EU Market Abuse Regulation (EU MAR) Long-Term Investment Funds No-Action Relief UK

EU Market Abuse Regulation—Implications for Non-EU Issuers with Securities Traded on an EU Market

The EU’s revamped market abuse rules—the Market Abuse Regulation (“MAR”)—come into direct effect in all EU Member States on July 3, 2016. MAR expands the scope of certain EU rules to EU markets that were previously not...more

6/23/2016 - Corporate Issuers EU EU Market Abuse Regulation (EU MAR) Multilateral Agreement Trading Platforms

MiFID II Implementation Delayed to 2018

The Council of the European Union has adopted legislation to delay the application of the Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation by one year. This extension is due to...more

6/22/2016 - EU EU Market Abuse Regulation (EU MAR) MiFID II Proposed Amendments SMEs

Financial Regulatory Developments Focus - June 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

6/9/2016 - EU Benchmark Regulation Form 10-K G-SII MiFID II Payday Loans Position Limits Prudential Standards Shadow Banking Stress Tests

Financial Regulatory Developments Focus - May 2016 #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

6/1/2016 - Basel III Beneficial Owner Capital Requirements Cross-Border Transactions Customer Due Diligence (CDD) EU Leverage Ratio Leveraged Lending Margin Requirements Recordkeeping Requirements Regulation Technical Standards (RTS) UCITS UK

SEC Staff Updates Guidance on Use of Non-GAAP Financial Measures

On Tuesday May 17, 2016, the staff of the SEC’s Division of Corporation Finance issued new C&DIs relating to Regulation G (which governs use of non-GAAP financial measures in public disclosures generally) and Item 10(e) of...more

5/24/2016 - Financial Reporting Guidance Update Non-GAAP Financial Measures Regulation S-K SEC

Financial Regulatory Developments Focus - May 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

5/18/2016 - Benchmarking Distributed Ledger Insider Trading Liquidity Coverage Ratio Regulatory Standards Senior Managers Yates Memorandum

Italian Floating Charge Over Movable Assets

Law Decree No. 59 of 3 May 2016 introduced a new and long-awaited security instrument in the Italian legal framework: a floating charge over movable assets. The new security called "pegno non possessorio" is meant to...more

5/12/2016 - Business Assets Corporate Financing Italy Perfected Security Interest

New Security for Real Estate Financings

Law Decree No. 59 dated 3 May 2016 introduced a new security instrument for real estate financings which entails secured creditors to satisfy their claims against the mortgaged assets without the need of going through a...more

5/12/2016 - Foreclosure Italy Mortgage Lenders Secured Debt

MiFID II: Access to EU Markets for Third Country Investment Firms

This note discusses the MiFID II regime for access by financial institutions located outside the EU to EU customers and markets. Full harmonisation of the access regime for third country firms has not been achieved. Instead...more

5/9/2016 - Counterparties EEA EU Financial Conduct Authority (FCA) Foreign Investment Fund International Harmonization Member State MiFID II Prudential Regulation Authority

Financial Regulatory Developments Focus - May 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

5/6/2016 - AML-CTF Annuities Asset Management Capital Markets Union Capital Requirements Cross-Border Transactions EU Incentive Compensation Leverage Ratio MiFID II SIFIs UK

Governance & Securities Law Focus: Asia Edition, April 2016

In this newsletter, we provide a snapshot of the principal US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions. Please see full...more

4/21/2016 - Asia BIS Corporate Governance EU Limited Liability Partnerships Nasdaq Person of Significant Control (PSC Register) UK

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