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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The SEC named Adam S. Aderton as the new co-chief of the Asset Management Unit's Enforcement Division. Mr. Aderton, who replaces Anthony Kelly, will share the position with Dabney O'Riordan.
By Cadwalader, Wickersham & Taft LLP
An annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds to 401(k) sponsors and participants.
By Cadwalader, Wickersham & Taft LLP
Several industry associations proposed amendments to an SEC-proposed new rule intended to "streamline and enhance" the regulatory framework for "fund of funds arrangements"
By Cadwalader, Wickersham & Taft LLP
A U.S.-based shipping and logistics company agreed to settle OFAC charges of violating Weapons of Mass Destruction ("WMD") Proliferators Sanctions Regulations.
By Cadwalader, Wickersham & Taft LLP
In remarks on the application of the antitrust laws to the financial sector at Fordham University School of Law, DOJ Assistant Attorney General Makan Delrahim stated
By Nihal Patel, Steven Lofchie
CFTC Chair J. Christopher Giancarlo urged U.S. regulators to clarify obligations for dealers to exchange initial margin ("IM") where requirements are below the $50 million threshold amount
By James Treanor
OFAC provided long-awaited and detailed U.S. economic sanctions guidance for organizations that are subject to U.S. jurisdiction,
By Cadwalader, Wickersham & Taft LLP
FINRA's proposal amending Rule 5110 ("Corporate Financing Rule - Underwriting Terms and Arrangements") to make "substantive, organizational and terminology" changes was published in the Federal Register.
By Robert Zwirb
The CFTC summarized the results of a reverse stress test and a liquidation stress test of central counterparties ("CCPs").
By Cadwalader, Wickersham & Taft LLP
In testimony before the U.S. House Committee on Agriculture, CFTC Chair J. Christopher Giancarlo described the agency's efforts to achieve "balanced market oversight."
By Cadwalader, Wickersham & Taft LLP
The U.S. Treasury Department ("Treasury") clarified the Opportunity Zone tax incentive through a second set of proposed regulations.
By Christian Larson
The DOJ petitioned the U.S. District Court for the Western District of North Carolina to authorize IRS summonses to uncover the identities of Finnish residents using U.S.-issued payment cards in Finland.
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy and the CFTC Office of Customer Education and Outreach warned investors about fraud on digital assets and cryptocurrency trading websites.
By Cadwalader, Wickersham & Taft LLP
OFAC sanctioned one current and one former official of the Venezuelan government for their connection to the Maduro regime.
By Cadwalader, Wickersham & Taft LLP
A trucking company agreed to settle DOJ and SEC accounting fraud charges for filing false and misleading statements with investors and falsifying its books and records.
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