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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
NASAA Warns Investors Of ICO Risks
The North American Securities Administrators Association warned investors of the risks associated with initial coin offerings.
United States
20 Apr 2018
2
FRB Vice Chair Summarizes Supervisory And Regulatory Policy
Mr. Quarles applauded recent efforts by the Basel Committee on Banking Supervision in regard to its international standard setting.
United States
20 Apr 2018
3
Weekly Roundup of Exchange Rules by Category – April 13, 2018
Click on the links to view SEC notices of exchange rule changes and proposals for the week of April 9 – April 13.
United States
19 Apr 2018
4
SEC Awards Over $2.1 Million To Whistleblower
The SEC awarded more than $2.1 million to a whistleblower who provided information that resulted in "multiple successful enforcement actions."
United States
19 Apr 2018
5
OFAC Director To Step Down
John E. Smith, Director of the U.S. Treasury Office of Foreign Assets Control ("OFAC"), will leave his position in early May.
United States
19 Apr 2018
6
Delaware Court Of Chancery Considers Questions On Board Control
As described more fully in a Cadwalader memorandum, the plaintiffs alleged that the acquisition benefited SolarCity stockholders to the detriment of Tesla stockholders.
United States
19 Apr 2018
7
SEC Commissioner Advises International Regulators To Stop "Trying To Do Too Much"
Ms. Peirce advised the international organizations to harmonize regulatory policies that are critically important.
United States
19 Apr 2018
8
ISDA Issues Fact Sheet On Initial Margin Regulations
ISDA provided guidance for firms that are preparing to become subject to regulatory initial margin requirements.
United States
19 Apr 2018
9
CFTC Chair Characterizes New Approach To Swaps Regulation As "Principles Based"
In advance of the release of a new framework for swaps reform, CFTC Chair J. Christopher Giancarlo declared that the CFTC would return to its "historic character" as a "principles-based regulator."
United States
18 Apr 2018
10
Mortgage Banker To Pay Fine For Failure To Maintain Servicing And Origination Operations
A mortgage banker agreed to pay a $5 million fine, following restitution payments of $7 million, to settle charges brought by the New York State Department of Financial Services ("DFS").
United States
18 Apr 2018
11
House Subcommittee Considers Expansion Of CFIUS Jurisdiction
The U.S. House Financial Services Subcommittee on Monetary Policy and Trade considered testimony on the proposed Foreign Investment Risk Review Modernization Act ("FIRRMA").
United States
18 Apr 2018
12
CFTC Grants CPO Relief From U.S. GAAP Reporting Requirement
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted exemptive relief to a commodity pool operator ("CPO") from the requirement to deliver to pool participants...
United States
18 Apr 2018
13
FRB Seeks Comments On Proposed "Simplified" Capital Rules
The Board of Governors of the Federal Reserve System ("FRB") requested comments on proposed rules that would simplify the capital requirements for large banks.
United States
18 Apr 2018
14
Broker-Dealer Fined for Failure To Supervise Customer E-Trading
An SEC-registered broker-dealer and FINRA member, agreed to pay a $1.575 million fine to settle charges from FINRA and several exchanges for violations Exchange Act Rule 15c3-5 (the "Market Access Rule").
United States
18 Apr 2018
15
SEC Division Of Trading And Markets Clarifies Recordkeeping Obligations
The SEC Division of Trading and Markets clarified the applicability to broker-dealers and third-party service providers of certain Exchange Act recordkeeping requirements.
United States
17 Apr 2018
16
SEC Commissioners Disagree With SEC Staff Determination On Regulation A Offering Limit
SEC Commissioners Michael S. Piwowar and Hester M. Peirce (collectively, "Commissioners") disagreed with the SEC determination not to increase the $50 million offering limit set under Regulation A.
United States
17 Apr 2018
17
CFPB Acting Director Calls For Agency Restructuring
In testimony before the SBC, CFPB Acting Director Mick Mulvaney outlined his recommendations for curbing the power and authority of the CFPB. Mr. Mulvaney addressed recent recommendations...
United States
17 Apr 2018
18
MSRB Names Chief Regulatory Officer
The MSRB named Lanny Schwartz as Chief Regulatory Officer. The appointment is effective April 24, 2018.
United States
17 Apr 2018
19
FTC Revises Settlement Agreement In Cyber Breach Incident
The FTC filed a revised Complaint against Uber, alleging that the company failed to disclose a significant breach of customer data that occurred in 2016 while still in negotiation with regulators regarding...
United States
17 Apr 2018
20
OCIE Cautions Investment Advisers On Fee And Expense Issues
The SEC Office of Compliance Inspections and Examinations ("OCIE") alerted investment advisers to common compliance issues related to advisory fees and expenses.
United States
17 Apr 2018
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