Shearman & Sterling LLP

UK Regulator Publishes Data Suggesting Minor Decline in UK Corporate Bond Market Liquidity Conditions

The Financial Conduct Authority published a research paper summarizing its most recent research into liquidity conditions in the UK corporate bond market. The report concludes that there has been a general decline in liquidity…more
| Business Organizations, Finance & Banking, Securities Law

EU Consultation on Proposed Draft Technical Standards on Central Contact Points for AML and CFT Purposes

The Joint Committee of the European Supervisory Committee launched a consultation on proposed Regulatory Technical Standards on the criteria for when a central contact point is appropriate and the functions of the central…more
| Business Organizations, Finance & Banking

UK Government Publishes Final Policy on Transposing MiFID II 

HM Treasury published a paper summarizing responses to its consultation on the transposition of the revised Markets in Financial Instruments Directive and three draft statutory instruments to facilitate transposition. Member…more
| Finance & Banking, International Law & Trade, Securities Law

UK Regulator Launches Review of UK Primary Markets

The Financial Conduct Authority launched its review into the effectiveness of primary markets by publishing a discussion paper on the UK primary markets landscape. The FCA is seeking views on how the UK primary capital markets…more
| Finance & Banking, Securities Law

European Securities and Markets Authority Concerned About MiFID II Loopholes

The European Securities and Markets Authority published a letter, dated February 1, 2017, from it to the European Commission about the potential for loopholes to be exploited in the revised Markets in Financial Instruments…more
| Finance & Banking

New Deputy Governor for Markets and Banking at the Bank of England

HM Treasury announced that Charlotte Hogg had been appointed Deputy Governor for Markets and Banking at the Bank of England, effective March 1, 2017..…more
| Finance & Banking

Final Draft Technical Standards on the Exclusion of Transactions with Non-EU Non-Financial Counterparties from Credit Valuation Adjustment Risk

The European Banking Authority published final draft Regulatory Technical Standards on the procedures for excluding transactions with non-financial counterparties established in a third country (which do not hold positions over…more
| Finance & Banking, International Law & Trade

International Organization of Securities Commissions Publishes FinTech Research Report

The International Organization of Securities Commissions published a research Report on financial technologies, or FinTech – innovative business models and emerging technologies that have the potential to transform the financial…more
| Finance & Banking, Science, Computers, & Technology, Securities Law

UK Regulator Takes Enforcement Action Against Firms for Failing to be Open and Cooperative

The Prudential Regulation Authority fined The Bank of Tokyo Mitsubishi UFJ Ltd and MUFG Securities EMEA plc for failing to be open and cooperative with the PRA about an enforcement action into BTMU by the New York Department of…more
| Finance & Banking

Governance & Securities Law Focus: Latin America Edition - February 2017

This newsletter provides a snapshot of the principal US and selected international governance and securities law developments during the fourth quarter of 2016 that may be of interest to Latin American corporations and financial…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law

EU Technical Standards on Additional Collateral Outflows for Derivative Transactions Published

A Commission Delegated Regulation, in the form of Regulatory Technical Standards, on additional liquidity outflows corresponding to collateral needs resulting from the impact of an adverse market scenario on an institution's…more
| Finance & Banking, Securities Law

UK Financial Conduct Authority Discusses Open-Ended Funds Holding Illiquid Funds

The Financial Conduct Authority published a Discussion Paper on open-ended investment funds investing in illiquid assets. The FCA is seeking feedback on whether its rules and regulatory approach to open-ended funds that hold…more
| Business Organizations, Finance & Banking, Securities Law

European Authority Rules Out Regulating Distributed Ledger Technology for Now

The European Securities and Markets Authority published a Report on the application of Distributed Ledger Technology to the securities markets. Distributed ledgers, sometimes referred to as blockchains, are essentially records…more
| Elections & Politics, Science, Computers, & Technology, Securities Law

UK Policing and Crime Act Receives Royal Assent

The Policing and Crime Act 2017 was enacted. The Act has wide reaching implications, including for the financial services industry. Among other things, the Act creates new civil monetary penalties and increases the maximum term…more
| Business Organizations, Elections & Politics

Revised EU Commodity Derivatives Position Reporting Standards Published

The European Securities and Markets Authority published revised final draft Implementing Technical Standards on the format of position reports by market operators and investment firms. The revised Markets in Financial…more
| Finance & Banking, Securities Law
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599 Lexington Avenue
New York, New York 10022-6069, United States

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