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By Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
By Cadwalader, Wickersham & Taft LLP
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
By Christian Larson, Steven Lofchie
The U.S. District Court for the Eastern District of New York froze the assets of a "self-described financial guru" charged with defrauding
By Cadwalader, Wickersham & Taft LLP
The Cybersecurity and Data Protection page helps financial institutions keep current on evolving legal and regulatory issues.
By Cadwalader, Wickersham & Taft LLP
An individual from Virginia settled SEC charges for conspiring to manipulate the price of certain issuer securities through false regulatory filings.
By Christian Larson
In a new report titled "Bitcoin, Blockchain, and the Energy Sector," the Congressional Research Service ("CRS") (i) highlighted the increasing energy demands
By Assia Damianova
The UK Information Commissioner's Office ("ICO") will impose significant fines against British Airways and Marriott for violating data security rules under the European Union's
By Cadwalader, Wickersham & Taft LLP
Several trade associations provided feedback on key areas of central counterparty ("CCP") default management auctions.
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporate Finance granted a Spanish bank exemptive relief from certain requirements under SEA Rule 14e-1 ("Unlawful
By Cadwalader, Wickersham & Taft LLP
The Congressional Research Service ("CRS") outlined the differences between the EU data privacy and protection rules and those in the United States
By Cadwalader, Wickersham & Taft LLP
An MSRB proposal amending interpretive guidance on certain disclosure obligations for municipal securities and municipal advisory activities was published in the Federal Register
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") will upgrade the U.S. payment system to provide payment-by-payment interbank settlements in real time
By Cadwalader, Wickersham & Taft LLP
Comments must be submitted by October 8, 2019.
By Cadwalader, Wickersham & Taft LLP
OFAC reported that both companies ultimately provided the requested information.
By Cadwalader, Wickersham & Taft LLP
ISDA said that preliminary results of a consultation show no consensus on whether contemplated fallback amendments to certain floating rate options that reference an IBOR should include a fallback trigger.
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