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By Cadwalader, Wickersham & Taft LLP
SEC Division of Corporation Finance Associate Director James M. Daly will retire at the end of September.
By Cadwalader, Wickersham & Taft LLP
As previously covered, NFA amended (i) NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) the Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
By Cadwalader, Wickersham & Taft LLP
ISDA issued a set of legal guidelines for smart derivatives contracts in a paper aimed at aiding the development of collateral management technology.
By Cadwalader, Wickersham & Taft LLP
The House approved a bill designed to make bank service company examinations more efficient by improving coordination among regulators.
By Cadwalader, Wickersham & Taft LLP
The Senate Committee on Banking, Housing and Urban Affairs considered testimony on the "serious concern" caused by an International Association of Insurance Supervisors'
By Christian Larson
FinCEN Deputy Director Jamal El-Hindi described agency efforts to encourage innovation in anti-money laundering.
By Robert Zwirb
Representative Angie Craig (D-MN) introduced a bill that would amend the CEA to exempt certain persons acting for or providing advice on CFTC-regulated products to charitable organizations
By Steven Lofchie
At a House Financial Services Subcommittee hearing, representatives considered testimony on the impact of the growth of the private securities markets.
By Cadwalader, Wickersham & Taft LLP
Regulatory change significantly increases overhead expenses for financial institutions. The Cabinet offers tools that allow firms and individuals to track regulatory developments
By Cadwalader, Wickersham & Taft LLP
The CFTC issued the 2019 fee schedule for overseeing the rule enforcement programs of regulated exchanges and NFA.
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporate Finance and Office of Mergers and Acquisitions granted no-action relief to a Maryland-based real estate investment trust (the "REIT") from Securities Exchange Act
By Cadwalader, Wickersham & Taft LLP
SEC Chief Accountant Sagar Teotia reviewed domestic and international accounting and auditing developments in the capital markets.
By Robert Zwirb
Representative Jahana Hayes (D-CT) introduced a bill to amend the CEA to increase the protection of proprietary information
By Cadwalader, Wickersham & Taft LLP
U.S. Treasury Department Undersecretary for Terrorism and Financial Intelligence ("TFI") Sigal P. Mandelker described the evolution and strategy behind the administration's counterterrorism efforts.
By Cadwalader, Wickersham & Taft LLP
North American Securities Administrators Association ("NASAA") President Christopher Gerold will focus on compliance enforcement
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