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By Cadwalader, Wickersham & Taft LLP
In a comment letter, SIFMA supported the concept of a FINRA-proposed pilot program for delaying trade reporting of block trades in corporate bonds.
By Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Dawn D. Stump emphasized the importance of using "common sense" on pressing issues before the agency.
By Robert Zwirb
CFTC Commissioner Dan M. Berkovitz advised the CFTC to focus on (i) increasing competition in the derivatives markets and (ii)
By Steven Lofchie
CFTC Commissioners addressed the relationship between climate change and the global financial system.
By Nick Shiren
Cadwalader attorneys analyzed recently adopted amendments to European counterparties trading derivatives obligations under the European Market Infrastructure Regulation ("EMIR Refit").
By Cadwalader, Wickersham & Taft LLP
OFAC imposed secondary sanctions on an Iraq-based financial conduit of the Islamic Revolutionary Guard Corps-Qods Force ("IRGC-QF") for trafficking weapons to IRGC-QF-backed Iraqi militias
By Cadwalader, Wickersham & Taft LLP
NFA adopted supervisory requirements and technical amendments concerning swap activities. The requirements are effective as of September 30, 2019.
By Cadwalader, Wickersham & Taft LLP
Sixty-five Democratic representatives called on CFPB Director Kathy Kraninger to rescind a recent proposal that would reduce the amount of lending information collected under the Home Mortgage
By Suzanne Bell, Robert Cannon, Stephen Day, Claire Puddicombe, David Quirolo, Nick Shiren, Daniel Tobias, Michael Sholem
On 7 June 2019, Regulation (EU) 2019/876 ("CRR II")[1] was published in the Official Journal of the EU.
By William Sadd
The Securities and Exchange Commission (the "SEC") on June 5 adopted Regulation Best Interest: The Broker-Dealer Standard of Conduct
By Nick Shiren, Assia Damianova, Michael Sholem
Regulation (EU) No 648/2012 ("EMIR")1 imposed a range of obligations which can apply to counterparties trading in derivatives, including a clearing obligation, risk mitigation obligations
By Joel Mitnick, Ngoc Hulbig
Two Japanese corporations each agreed to pay $2.5 million to settle Federal Trade Commission ("FTC") charges of violating the premerger
By Steven Lofchie
SIFMA summarized the SEC's "Regulation Best Interest" ("Reg. BI") rulemaking package. •the standards of conduct for broker-dealers under Reg. BI;
By Cadwalader, Wickersham & Taft LLP
OFAC sanctioned a Syrian oligarch and associated individuals and entities that support the Assad regime. The Treasury Department stated
By Steven Lofchie
A broker-dealer agreed to pay $125,000 to settle FINRA charges for sending false asset valuations to customers in their consolidated reports
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