Tobia Croff

Tobia Croff

Shearman & Sterling LLP

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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 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

Governance & Securities Law Focus: Asia Edition - July 2015

In this issue: - HKEx Publishes Consultation Conclusions on Weighted Voting Rights - Corporate Governance Reforms in Japan - SEC and NYSE/Nasdaq Developments - Sanctions Round-Up - Noteworthy US...more

7/20/2015 - Asia China Conflict Mineral Rules Corporate Governance DOJ Enforcement Actions ESMA EU Executive Compensation Financial Reporting Proxy Advisors Sanctions SEC UK Voting Rights

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 Services Industry Global Market Prudential Regulation Authority Prudential Standards Regulatory Agenda UK

Governance & Securities Law Focus: Asia 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

4/27/2015 - Asia Capital Markets Corporate Governance DOJ Enforcement Actions European Commission Executive Compensation SEC Securities Litigation Small Business

Governance & Securities Law Focus: Europe Edition, April 2015

In this issue: - Adoption of Action Plan on Company Law and Corporate Governance - European Commission Green Paper: Building a Capital Markets Union - European Commission Publishes Consultation Paper on...more

4/21/2015 - Capital Markets Corporate Governance Diversity DOJ Enforcement Actions EU European Commission Germany Prospectus SEC Small Business Stock Corporations

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

Governance & Securities Law Focus: Europe Edition - January 2015

In this issue: - Directive Regarding Disclosure of Non-Financial and Diversity Information Published in Official Journal - ESMA Publishes Transparency Directive Consultation on European Electronic Access Point...more

2/2/2015 - Audits BIS Board of Directors CONSOB Corporate Governance ESMA Ethics EU Financial Institutions FRC Internal Controls Issuers Market Participants MiFID Securities Technical Standards Voting Rights

Governance & Securities Law Focus: Asia Edition, January 2015

In this issue: - Japan Releases Exposure Draft of New Corporate Governance Code - Launch of Shanghai-Hong Kong Stock Connect - SEC and NYSE Developments - Noteworthy US Securities Law Litigation...more

1/29/2015 - BIS Compensation & Benefits Corporate Governance DOJ Enforcement Actions ESMA EU EU Directive Executive Compensation Financial Markets Hong Kong Stock Exchange Japan NYSE SEC Securities Securities Litigation Shanghai Stock Exchange UK

Banking Supervision Within the Eurozone: The Single Supervisory Mechanism

On 4 November 2014, the European Central Bank became the prudential regulator for all Eurozone banks under the Single Supervisory Mechanism. The SSM does not introduce another layer of substantive regulation but significantly...more

11/18/2014 - EU European Central Bank Prudential Regulation Authority

MiFID II - Transaction Reporting

A transaction reporting regime has been in place at EU level for some time, albeit much was delegated to national implementation. Under MiFID II, the reporting regime will be overhauled and significantly extended in terms of...more

10/20/2014 - EMIR EU MiFID REMIT Reporting Requirements

Governance & Securities Law Focus: Asia Edition, October 2014

In this issue: - Asia DEVELOPMENT - HKEx Releases Concept Paper on Weighted Voting Rights - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law Litigation - Recent...more

10/16/2014 - Asia Compliance DOJ Enforcement Enforcement Actions ESMA EU European Merger Control Regulation Financial Regulatory Reform HKEx SEC Securities Litigation Voting Rights

MiFID II: Commodity Derivatives and Emissions

MiFID II is the latest piece in a package of European and global reforms impacting commodity derivatives and emissions traders, drawn up in response to concerns as to excessive speculation and volatility in the commodities...more

10/16/2014 - Carbon Emissions Commodities Commodity Pool EMIR Emissions Trading System ESMA EU Greenhouse Gas Emissions MiFID

Governance & Securities Law Focus: Europe Edition - October 2014

In this issue: - EU DEVELOPMENTS - European Commission Launches Public Consultation on Proposals to - Improve EU Merger Control - ESMA Publishes Final Guidelines on Enforcement of Financial...more

10/10/2014 - Cross-Border Transactions ESMA EU European Commission Mergers

MiFID II: The Regulation of Market Makers

MiFID II introduces new laws addressing various structural and other issues relating to the operation of trading venues. Market making activity on such venues will now be subject to extensive regulation. This includes a...more

10/10/2014 - EU High Frequency Trading Market Making MiFID Regulatory Standards

SEC Compliance Manual for NASDAQ-Listed Non-US Companies

As a result of registration of ordinary shares including in the form of American Depositary Shares (“ADSs”) under the US securities laws and the listing of ordinary shares or ADSs on the NASDAQ Stock Market (“NASDAQ”), non-US...more

9/23/2014 - Foreign Corporations Nasdaq Registration Reporting Requirements SEC Securities Act of 1933 Securities Exchange Act Stocks

SEC Compliance Manual for NYSE-Listed Non-US Companies

As a result of registration of ordinary shares including in the form of American Depositary Shares (“ADSs”) under the US securities laws and the listing of ordinary shares or ADSs on the New York Stock Exchange (the “NYSE”),...more

9/23/2014 - Compliance Corporate Governance Foreign Corporations NYSE SEC Shareholders

Extraterritoriality Revisited: Access to the European Markets by Financial Institutions, Funds and Others from Outside Europe

In an effort to harmonise investor protection across the EU and ensure effective market competition, a framework has been established for financial institutions, funds and market infrastructure established outside the EU to...more

8/28/2014 - Banking Sector Capital Markets EU Extraterritoriality Rules Financial Institutions Investor Protection Market Participants

Timing and Scope of EU Clearing Obligation for Derivatives

The European Securities and Markets Authority is consulting on the mandatory clearing obligation for certain derivatives. Draft regulatory technical standards have been published for the mandatory clearing of certain interest...more

7/18/2014 - Clearing Agencies Derivatives EMIR ESMA EU European Commission Financial Regulatory Reform

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

Basel III Framework: Large Exposures

Even banks with strong capital ratios may fail as a result of the sudden failure of a counterparty or group of connected counterparties. To address this risk and to complement the now near-final Basel III framework, the Basel...more

6/16/2014 - Banks Basel Committee Basel III EU Foreign Banks Risk Management

New Italian Rules to Create a More Favorable Regulatory Regime for the Issuance of Corporate Bonds

On February 21, 2014, Italy enacted Law No. 9 (the “New Law”), which, among other things: - reduces the tax cost of taking security in connection with notes offerings; - expands the array of security that can...more

3/25/2014 - Bonds Corporate Bonds EU

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