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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
FINRA warned member firms of a phishing email from a purported anti-money laundering compliance officer working at an Indiana-based credit union.
By Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department Office of Financial Research adopted final rules establishing a data collection requiring the reporting of certain information about centrally cleared transactions in the U.S. repurchase agreement market to the OFR
By Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") provided its semi-annual report to Congress.
By Kyle DeYoung
The SEC charged a former senior attorney at Apple with insider trading.
By Cadwalader, Wickersham & Taft LLP
In a Risk Alert, the SEC Office of Compliance Inspections and Examinations ("OCIE") urged transfer agents to review their policies to ensure that funds and securities are protected.
By Kyle DeYoung
An audit firm based in Japan, its former CEO, and its former acting reputation and risk leader ("RRL") (collectively, the "Respondents") agreed to settle SEC charges for violating auditor independence rules.
By Christian Larson
The European Commission published a list of jurisdictions it identified as having strategic anti-money laundering and countering the financing of terrorism ("AML/CFT") deficiencies
By Steven Lofchie
FINRA extended the effective date of the margin requirements for Covered Agency Transactions, including "to-be-announced" ("TBA") transactions and other forward-settling agency securities transactions
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") proposed amending the OCC's company-run stress testing requirements for national banks and federal savings associations.
By Cadwalader, Wickersham & Taft LLP
The CFTC's Division of Market Oversight, Division of Swap Dealer & Intermediary Oversight, and Division of Clearing & Risk published examination priorities.
By Cadwalader, Wickersham & Taft LLP
The staff of the SEC Division of Corporation Finance (the "Division") will not recommend enforcement action against a U.S. company for excluding a shareholder proposal from its proxy materials.
By Cadwalader, Wickersham & Taft LLP
Beginning in April 2020, depositaries under the EU Alternative Investment Fund Managers Directive ("AIFMD") ...
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle NASDAQ Stock Market LLC ("Nasdaq") charges of failing to "maintain a continuous two-sided trading interest . . .
By Steven Lofchie
FINRA staff provided interpretive guidance on FINRA Rule 2210, which imposes certain requirements on institutional communications.
By Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department ("Treasury") Office of Foreign Assets Control ("OFAC") replaced two general licenses under Executive Orders 13808 and 13850 ...
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