In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/26/2018
/ AML/CFT ,
Bank Resolution Scheme ,
Banking Sector ,
Corporate Culture ,
Corporate Governance ,
Corporate Misconduct ,
EU ,
Financial Services Industry ,
Prudential Standards ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/20/2018
/ Banking Sector ,
Competition ,
Cybersecurity ,
Derivatives ,
EU ,
Financial Markets ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/12/2018
/ Annual Reports ,
Appraisal ,
Banks ,
Commercial Real Estate Market ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Customer Due Diligence (CDD) ,
Disclosure Requirements ,
EU Prospectus Regime ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Agencies ,
FinCEN ,
FRBNY ,
Fund Managers ,
Global Economy ,
Investor Protection ,
MiFID II ,
Regulatory Standards ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
2/15/2018
/ Benchmarks ,
Cease and Desist Orders ,
Dodd-Frank ,
Entrepreneurs ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Stress Tests ,
UK ,
UK Brexit ,
Venture Capital ,
Wells Fargo
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
2/7/2018
/ Central Counterparties ,
Enforcement Actions ,
EU ,
GAO ,
Interest Rate Swaps ,
Liquidity ,
Money Market Funds ,
Price Manipulation ,
Risk Management ,
Stress Tests ,
UK
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
1/26/2018
/ Consumer Financial Products ,
Corporate Governance ,
EU ,
EU Benchmark Regulation ,
Financial Crimes ,
Financial Crisis ,
IFRS ,
MiFID II ,
Prudential Standards ,
Terrorist Financing ,
UK
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
Shearman & Sterling’s bi-annual Trends & Patterns in FCPA Enforcement report provides insightful analysis of recent enforcement trends and patterns in the US, the UK and elsewhere, as well as helpful guidance on emerging best...more
7/6/2017
/ Chief Compliance Officers ,
Compliance ,
Corporate Counsel ,
Deferred Prosecution Agreements ,
Disgorgement ,
Enforcement Actions ,
Enforcement Statistics ,
Foreign Corrupt Practices Act (FCPA) ,
Jurisdiction ,
Litigation Privilege ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Statute of Limitations ,
Trump Administration ,
UK
Earlier today, the Office of the Comptroller General in Brazil, Controladoria-Geral da União (“CGU”), issued a sweeping directive barring government officials from accepting offers to attend or participate in the upcoming...more
In this issue:
- Enforcement Actions and Strategies
- Perennial Statutory Issues
- Unusual Developments
- Compliance Guidance
- Private Litigation
- Enforcement in the United...more