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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The SEC named Robert Evans III as Chief of the Office of International Corporate Finance.
By Cadwalader, Wickersham & Taft LLP
The former CEO and co-founder of investment firm F-Squared Investments, Inc. was found liable for violating federal securities laws in relation to allegations he misled investors...
By Adam Blakemore, Joseph Moreno, Janaki Tampi, Elizabeth Clay
On 30 September 2017, Part 3 of the UK Criminal Finances Act 2017 (the "CF Act") came into force creating new corporate offences for failing to prevent the facilitation of UK or overseas tax evasion.
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") issued a Bulletin to remind industry members that the comment period for the proposed rule change to shorten the standard settlement cycle...
By Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of October 2 to October 6, 2017.
By Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") rescinded previously issued guidance concerning deposit advance products.
By Cadwalader, Wickersham & Taft LLP
Former Equifax CEO Richard F. Smith testified before two separate Congressional committees on the Equifax cybersecurity breach and the company's subsequent response and remedial efforts.
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") extended to November 30, 2017 the comment deadline for two related proposals.
By Cadwalader, Wickersham & Taft LLP
The Federal Trade Commission ("FTC") and the Department of Justice ("DOJ") released the Hart-Scott-Rodino Annual Report for fiscal year 2016.
By Cadwalader, Wickersham & Taft LLP
Acting Comptroller of the Currency Keith A. Noreika described risks faced by national banks and federal savings associations and suggested possible regulatory reforms.
By Cadwalader, Wickersham & Taft LLP
The SEC approved proposed FINRA amendments to (i) consolidate the NASD and NYSE incorporated registration rules for associated persons as FINRA rules,
By Steven Lofchie
The U.S. Treasury Department ("Treasury") released a second report pursuant to President Donald J. Trump's Executive Order establishing core principles for improving the financial system.
By Steven Lofchie
The Consumer Financial Protection Bureau ("CFPB") adopted its "Payday, Vehicle Title, and Certain High-Cost Installment Loans" rule, which is intended to eliminate "Payday Debt Traps"...
By Edward Wei
On October 4, 2017, the U.S. Department of the Treasury ("Treasury") released a report (the "report") recommending actions to reduce certain tax regulatory burdens.
By Robert Zwirb
CFTC Commissioner Brian Quintenz explained CFTC efforts to facilitate FinTech development and promised a "reset" of the CFTC's approach to regulating algorithmic trading.
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