Tobia Croff

Tobia Croff

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

Prospectus Directive: The Commission’s Proposal for a New Prospectus Regulation

The European Commission, as part of its Capital Markets Union action plan and its commitment to simplify and harmonize EU laws, on November 30, 2015 adopted a proposal for a new prospectus regulation, intended to replace the...more

2/5/2016 - Capital Markets Union Corporate Issuers EU EU Directive European Commission Prospectus

Prospectus Directive: The Commission’s Proposal for a New Prospectus Regulation

The European Commission, as part of its Capital Markets Union action plan and its commitment to simplify and harmonize EU laws, on November 30, 2015 adopted a proposal for a new prospectus regulation, intended to replace the...more

2/4/2016 - Capital Markets Union Corporate Issuers EU EU Directive European Commission Prospectus

Governance & Securities Law Focus: Europe Edition, January 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

1/29/2016 - AIM Corporate Governance Enforcement Actions EU Financial Conduct Authority (FCA) Financial Reporting MiFID II Proxy Voting Guidelines Succession Planning Takeover Code Transparency Directive UK

It’s Annual Report Time—Helpful Tips for the Preparation of 2015 Form 20-F

It is that time of the year for a large number of non-US companies to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-Fs must be filed with the US Securities and Exchange...more

1/28/2016 - Annual Reports FASB Foreign Corporations IASB SEC

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

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

Governance & Securities Law Focus: Asia Edition, October 2015

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

10/19/2015 - AIM Capital Markets Corporate Governance Digital Single Market DOJ Enforcement Actions EU Executive Compensation Financial Conduct Authority (FCA) Israel Limited Partnerships London Stock Exchange Market Manipulation MiFID II Nasdaq NYSE Private Equity Regulation Technical Standards (RTS) SEC Shareholder Rights Transparency 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

Governance & Securities Law Focus: Europe Edition Q3 2015

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

10/13/2015 - Alternative Investment Funds Corporate Governance Enforcement Actions ESMA EU EU Directive Executive Compensation Financial Reporting Germany London Stock Exchange NYSE OECD Proxy Season Proxy Voting Guidelines SEC Securities Shareholder Rights Transparency UK

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

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 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

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