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Searching Content by Cadwalader, Wickersham & Taft LLP from Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
Attorneys Examine Use Of Total Return Swaps To Access Chinese Capital Markets
Tiecheng Yang and Yin Ge of Han Kun Law Offices authored a memorandum on TRS, which are often used by non-PRC investors to gain access to securities listed and traded on PRC exchanges and its interbank bond market.
United States
17 Apr 2018
6
CFPB Requests Information On Consumer Complaints
The Consumer Financial Protection Bureau ("CFPB") issued a Request for Information ("RFI") on the agency's handling of complaints and inquiries from consumers.
United States
16 Apr 2018
7
MSRB Chief Economist Finds No Relationship between ETF Growth And Muni Bond Market Liquidity
MSRB Chief Economist Simon Wu published an analysis of the relationship between exchange-traded funds ("ETFs") and liquidity in the municipal bond market.
United States
16 Apr 2018
8
OCC And FRB Request Comments On Enhanced Supplementary Leverage Ratio
The Office of the Comptroller of the Currency ("OCC") and the Board of Governors of the Federal Reserve System ("FRB") are seeking comments on a proposed rule to amend the standards...
United States
16 Apr 2018
9
CFPB Acting Director Asks Congress To Curb Power Of Agency
In testimony before the House Financial Services Committee, Consumer Financial Protection Bureau ("CFPB") Acting Director Mick Mulvaney reiterated several recommendations to restrain the power of the agency.
United States
16 Apr 2018
10
FINRA To Review VIX-Linked Products
FINRA's Member Regulation Department will be conducting a review with respect to products linked to the Chicago Board Options Exchange Volatility Index ("VIX").
United States
13 Apr 2018
11
CME Floor Broker Settles CFTC Spoofing Charges
A Chicago Mercantile Exchange ("CME") floor broker agreed to settle CFTC charges that he engaged in "spoofing" in the wheat futures market.
United States
13 Apr 2018
12
SEC Issues Investor Alert On Ponzi Schemes Directed At Seniors
The SEC Office of Investor Advocacy and Retail Strategy Task Force issued an Investor Alert, warning the public that certain Ponzi schemes are targeting senior investors, as demonstrated...
United States
13 Apr 2018
13
CPMI And IOSCO Issue Global Technical Guide On Derivatives Data Elements
The Committee on Payments and Market Infrastructures ("CPMI") and IOSCO provided technical guidance for derivatives regulators on harmonizing certain "critical" data elements for over-the-counter ("OTC") transactions.
United States
13 Apr 2018
14
SEC Accuses FinTech Company Of Illegal Stock Sales
The SEC secured a court order freezing proceeds from the distribution and sale of restricted shares of Longfin Corp. ("Longfin"), a financial technology company, and filed charges against its CEO and three affiliates.
United States
13 Apr 2018
15
FCA Affirms Regulatory Authority Over Cryptocurrency Derivatives
The UK Financial Conduct Authority ("FCA") advised market participants that firms engaging in business related to cryptocurrency derivatives must comply with applicable FCA and European Union rules
UK
12 Apr 2018
16
Weekly Roundup Of Exchange Rules By Category – April 6, 2018
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of April 2 to April 6, 2018.
United States
12 Apr 2018
17
GFMA Releases Framework For Cybersecurity Testing
The Global Financial Markets Association ("GFMA") published a blueprint for firms to implement cybersecurity testing programs in a manner consistent with regulatory obligations.
United States
12 Apr 2018
18
Three Investment Advisers Settle Share Class Selection Disclosure Violations
Three unrelated investment advisers agreed to settle SEC charges of violating fiduciary duties to customers due to improper mutual fund share class selection practices.
United States
12 Apr 2018
19
FCA Issues New Requirements For UK Asset Management Industry
The UK Financial Conduct Authority ("FCA") issued a policy statement establishing new rules and guidance to improve investor protections in the UK asset management ...
UK
12 Apr 2018
20
IOSCO Makes Final Reporting And Transparency Recommendations For Corporate Bond Market
IOSCO issued seven final recommendations to regulatory authorities about increased regulatory reporting for transactions in corporate bonds.
United States
12 Apr 2018
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