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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") granted no-action relief to a closed-end management investment company (PIMCO Dynamic Income Fund) (the "Fund")...
By Steven Lofchie
The North American Securities Administrators Association ("NASAA") shared several current and emerging investment threats identified by state regulators and the NASAA Enforcement Section.
By Cadwalader, Wickersham & Taft LLP
The SEC explained that the rulemaking process generally involves (i) a proposing release, in which the SEC discusses and shares the text of a proposed new rule or rule amendment...
By Steven Lofchie
The U.S. Office of Financial Research ("OFR") reported that overall risks to financial stability remain moderate, consistent with its assessment from last year
By Cadwalader, Wickersham & Taft LLP
Smaller fund groups will be required to begin submitting reports on Form N-PORT by April 2020.
By Cadwalader, Wickersham & Taft LLP
The OIEA instructed investors to carefully consider which services are encompassed by a particular wrap fee agreement.
By Cadwalader, Wickersham & Taft LLP
Each fund tracks, or will track, the performance of an underlying index.
By Jean Marie Bertrand, Mark Howe, Jordan Schwartz, Gary Silverstein, Linda Swartz, Edward Wei
On December 2, 2017, the Senate passed a tax reform bill1 that differs in some key aspects from the tax reform bill the House approved on November 16, 2017.
By Cadwalader, Wickersham & Taft LLP
The UK FCA will not require firms to continue putting processes in place to exchange VM for physically settled FX forwards in preparation for the January 3, 2018 MiFID II applicability date.
By Cadwalader, Wickersham & Taft LLP
The SEC approved an MSRB proposal to amend MSRB Form G-45 to require the underwriters of (i) college savings plans implemented in accordance with Section 529 of the Internal Revenue Code...
By Cadwalader, Wickersham & Taft LLP
SEC Commissioner Kara Stein described the current exchange-traded product ("ETP") marketplace and discussed how regulators can best keep up with significant market developments.
By Steven Lofchie
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") published interpretative guidance to clarify CTA registration requirements in light of the MiFID II research compensation provisions.
By Jeffrey Robins
Munchee Inc., a California-based restaurant review company, shut down its ICO and issued refunds to investors after the SEC issued a cease-and-desist order for failing to register the tokens as a security.
By Jeffrey Robins
SEC Chair Jay Clayton asserted that ICOs are likely to involve the sale of assets that qualify as securities, and urged investors to proceed with caution when considering ICO or cryptocurrency-related investments.
By Cadwalader, Wickersham & Taft LLP
FINRA published a 2017 report on its examination program.
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