Shearman & Sterling LLP

European Banking Authority Publishes First List of Other Systematically Important Institutions

The European Banking Authority published the first list of Other Systematically Important Institutions in the European Union. O-SIIs are institutions which have been deemed by national regulators to be systematically relevant in…more
| Finance & Banking, International Law & Trade, Securities Law

European Commission under MiFID II Requests Amendments to Draft Technical Standards

The European Commission published three separate letters rejecting European Securities and Markets Authority draft technical standards and requesting amendments in accordance with the Markets in Financial Instruments Directive…more
| Finance & Banking, Securities Law

UK Financial Conduct Authority Consults on Changes to Implement the Market Abuse Regulation

The Financial Conduct Authority published its proposed changes to the Decision Procedure and Penalties Manual and the Enforcement Guide for implementation of the Market Abuse Regulation. The MAR will apply directly across the EU…more
| Finance & Banking

Erratum to Consultation on Basel III Leverage Ratio Framework Published

The Basel Committee on Banking Supervision published an erratum to its April 2016 consultation paper on proposed revisions to the Basel III leverage ratio framework. The proposals contained in the consultation paper include…more
| Finance & Banking

Second Circuit Holds Sarbanes-Oxley’s Five-Year Statute of Repose Applies to Claims Under Sections 9(f) and 18(a), but Re-Affirms That Three-Year Repose Period Applies to Section 14 Claims

Twenty-five years ago, in Ceres Partners, the Second Circuit held that the implied private right of action under Section 14 of the Securities and Exchange Act of 1934 (“Exchange Act”) was subject to a three-year repose period,…more
| Business Organizations, Energy & Utilities, Mergers & Acquisitions

European Commission Requests European Banking Authority to Assist in its Review of EU Capital Requirements Regulation

Two letters from Olivier Guersent DG FISMA of the European Commission to Andrea Enria, Chairperson of the European Banking Authority, on issues associated with its review of the Capital Requirements Regulation were published…more
| Finance & Banking

EU Legislation Imposing Clearing Obligation for Credit Default Swaps Published

A Commission Delegated Regulation on central clearing for credit default swaps supplementing the European Markets Infrastructure Regulation was published in the Official Journal of the European Union. Under the Regulation, two…more
| Finance & Banking, Securities Law

EU Guidelines on Disclosure of Confidential Information under the Bank Recovery & Resolution Directive Finalized

The European Banking Authority published a report, including final Guidelines, on how confidential information collected under the EU Bank Recovery and Resolution Directive should be disclosed. The BRRD restricts the disclosure…more
| Finance & Banking, Privacy

UK Regulator Consults on Regulation of Secondary Annuity Market

The Financial Conduct Authority published a consultation paper on its proposed rules and guidance for the secondary annuity market due to start in April 2017. The consultation is aimed at parties interested in pensions and…more
| Finance & Banking, Insurance, Labor & Employment Law

Basel Committee on Banking Supervision Publishes Pre-announced Jurisdiction Buffer Decisions

The Basel Committee on Banking Supervision published a list of jurisdiction specific pre-announced buffer decisions. In December, 2010, the Basel Committee published Basel III: a global regulatory framework for more resilient…more
| Finance & Banking

HM Treasury Consults on Legislation for Secondary Annuities Market

HM Treasury published a consultation paper on the UK Government’s proposed secondary market due to be introduced in April 2017. The market would extend the recently introduced pension freedoms and flexibilities to individuals,…more
| Finance & Banking, Insurance, Labor & Employment Law, Taxation

Making the Safe Harbors Safe Again - United States Court of Appeals for the Second Circuit Holds That State Law Constructive Fraudulent Conveyance Claims Brought by Creditors are Preempted by the Safe Harbor of Section 546(e) of the Bankruptcy Code

The Bankruptcy Code contains “safe harbors” that, among other things, exempt transfers made in connection with certain financial contracts, including securities contracts, from avoidance by the bankruptcy trustee as preferential…more
| Bankruptcy, Business Organizations, Conflict of Laws, Finance & Banking, Mergers & Acquisitions

UK Government Action Plan for Anti-Money Laundering and Counter-Terrorist Finance

The UK Government published an Action Plan for anti-money laundering and counter terrorism financing. The Government is aiming to overhaul the UK approach to AML and CTF by giving new capabilities and legal powers to law…more
| Finance & Banking, International Law & Trade, Privacy, Science, Computers, & Technology

EU Legislation Amends Margin Period of Risk for Client Accounts

A Commission Delegated Regulation, which amends Regulatory Technical Standards on the time horizons for liquidation of different classes of financial instruments, was adopted by the European Commission. Under the European…more
| Finance & Banking

To Self-Report or Not to Self-Report, That Remains the Question After the Justice Department’s Latest Effort to Encourage Self-Reporting

On April 5, 2016, the United States Department of Justice, Criminal Division, Fraud Section launched a one-year Pilot Program that invites companies to self-report potential violations of the Foreign Corrupt Practices Act…more
| Business Organizations, International Law & Trade
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599 Lexington Avenue
New York, New York 10022-6069, United States

  • 212 848 4000
  • 212 848 7179

Areas of Practice
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800+ Attorneys

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