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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
CFTC Extends No-Action Relief To Certain DCOs From Reporting Obligations
The CFTC Division of Market Oversight granted a request from ISDA to extend time-limited no-action relief to certain entities from the requirement to report continuation ...
United States
23 Feb 2018
2
FDIC Chair Urges Continued Vigilance In Resolution Planning
FDIC Chair Martin Gruenberg described progress in the resolution-planning process for systemically important financial institutions ("SIFIs").
United States
23 Feb 2018
3
Attorney General Creates Cyber-Digital Task Force
U.S. Attorney General Jeff Sessions created a new Department of Justice Task Force aimed at combating global cybersecurity threats.
United States
23 Feb 2018
4
SEC Suspends Trading In Three Companies Over Cryptocurrency-Related Claims
The SEC suspended trading in the securities of three penny stock companies (Cherubim Interests, Inc., PDX Partners, Inc., and Victura Construction Group, Inc.) ...
United States
23 Feb 2018
5
CFTC And UK Financial Conduct Authority Sign Fintech Collaboration Arrangement
The CFTC and the UK Financial Conduct Authority ("FCA") signed an agreement to facilitate collaboration, share information and support each other's FinTech initiatives.
UK
22 Feb 2018
6
CFTC Alerts Investors On Pump-And-Dump Virtual Currency Schemes
The CFTC warned customers about virtual currency pump-and-dump schemes conducted in unregulated online cash markets.
United States
22 Feb 2018
7
FTC Returns Nearly $3 Million To Consumers Harmed By Payday Lending Scheme
The Federal Trade Commission ("FTC") returned more than $2.9 million to the victims of an alleged payday lending fraud scheme.
United States
22 Feb 2018
8
CFTC Provides Registration Exemption For Certain Introducing Brokers And Associated Persons
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted temporary no-action relief to the wholly owned subsidiary (Shorcan, Inc., or "Shorcan") of a futures exchange (Intercontinental Exchange, Inc., or "ICE") from certain registration requirements for introducing brokers ("IBs") and the associated persons of introducing brokers ("APs").
United States
22 Feb 2018
9
House Subcommittee Examines Derivatives Proposals
The Subcommittee on Capital Markets, Securities and Investments reviewed legislative proposals relevant to derivatives end users.
United States
22 Feb 2018
10
SEC Commissioner Questions Perpetual Dual-Class Stock Ownership Structures
SEC Commissioner Robert Jackson examined the governance of companies with perpetual dual-class stock ownership structures.
United States
22 Feb 2018
11
High Court Decision Confirms The Availability Of The Protection Of Litigation Privilege In The Context Of Internal Investigations
On 8 May 2017, the Chancellor of the High Court in Bilta v RBS confirmed that in certain circumstances litigation privilege may protect documents created in the context of an internal investigation.
UK
21 Feb 2018
12
SEC Names Chief Accountant In Division Of Corporation Finance
The SEC named Kyle Moffatt as Chief Accountant in the Division of Corporation Finance (the "Division").
United States
20 Feb 2018
13
SEC Allows Fund To File Post-Effective Amendments To Registration Statement - February 15, 2018
The SEC Division of Investment Management (the "Division") granted no-action relief to closed-end management investment company Eagle Point Credit Company Inc., ("Fund") that will allow the company to file post-effective amendments to its registration statement, pursuant to Securities Act Rule 486(b).
United States
20 Feb 2018
14
NASAA Survey Finds Millenials Most Vulnerable To FinTech Fraud
Millennials are most vulnerable to FinTech fraud, according to a new North American Securities Administrators Association Pulse Survey of securities regulators.
United States
20 Feb 2018
15
MSRB Seeks Public Input On Compliance Obligations For Non-Solicitor Municipal Advisors
The MSRB is seeking public comments on a draft of frequently asked questions ("FAQs") related to certain aspects of MSRB Rule G-42 concerning the duties of non-solicitor municipal advisors.
United States
20 Feb 2018
16
CFTC Simplifies List Of Defined Terms
The CFTC approved an amendment that replaces the lettering system used in its list of defined terms (CFTC Rule 1.3) with an alphabetized list.
United States
20 Feb 2018
17
Bank To Pay Over $600 Million For BSA/AML Violations
U.S. Bancorp and its operating subsidiary, U.S. Bank, entered into agreements to pay $613 million to resolve allegations that U.S. Bank broke Bank Secrecy Act/Anti-Money Laundering ("BSA/AML") rules.
United States
20 Feb 2018
18
CFTC Chair Reaffirms Support For Cross-Border Deference On Clearinghouse Regulation
CFTC Chair J. Christopher Giancarlo reaffirmed his commitment to a cross-border deference-based approach to clearinghouse regulation, encouraged expanded Congressional oversight over virtual currencies, and provided updates on several rulemaking initiatives.
United States
20 Feb 2018
19
FINRA Announces Updates To The Regulatory Extension System
FINRA enhanced the functionality of its Regulatory Extension ("REX") system, which allows firms to electronically submit requests for extensions of time pursuant to FINRA Rule 4210.
United States
20 Feb 2018
20
CFTC Advisory Committee Examines Emerging Technology
The CFTC Technology Advisory Committee ("TAC") considered challenges posed by new technologies.
United States
20 Feb 2018
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