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Cadwalader, Wickersham & Taft LLP
 
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By Steven Lofchie
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
By Cadwalader, Wickersham & Taft LLP
President Donald J. Trump signed an Executive Order to strengthen and expand sanctions authorities that combat international terrorism.
By Cadwalader, Wickersham & Taft LLP
The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail ("CAT").
By Steven Lofchie
New York Attorney General Letitia James and several other state attorneys general (the "Plaintiffs") sued the SEC, alleging that Regulation "Best Interest" ("Reg. BI")
By Cadwalader, Wickersham & Taft LLP
The recently approved SEC Proxy-Advisor Guidance and Interpretation and Guidance on Proxy Voting Advice were published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement ("Division")
By Cadwalader, Wickersham & Taft LLP
A former Chief Compliance Officer/General Securities Principal ("CCO/GSP") settled FINRA charges for failing to (i) update employee forms concerning reportable events within 30 days of discovery
By Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of state enforcement actions.
By Ingrid Bagby, Michele Maman, Eric G. Waxman, Casey Servais
On August 9, 2019, in a unanimous decision (written by a former bankruptcy judge), the Eighth Circuit Court of Appeals affirmed the confirmation of the Peabody Energy Chapter 11 plan ("Plan")1
By Cadwalader, Wickersham & Taft LLP
OFAC issued a general license and amended a Frequently Asked Question ("FAQ") concerning transactions with the Government of Venezuela.
By Cadwalader, Wickersham & Taft LLP
The associated person of an introducing broker agreed to settle CFTC and CME charges (see here and here, respectively) for fraudulent solicitation
By Steven Lofchie
A general securities representative settled FINRA charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds ("LIETFs")
By Dorothy Mehta
The North American Securities Administrators Association ("NASAA") reported examination findings at state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.
By Joseph Moreno, Steven Lofchie
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
By Cadwalader, Wickersham & Taft LLP
OFAC amended the Cuban Assets Control Regulations ("CACR") to (i) revise authorizations concerning remittance allowances and (ii) eliminate
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