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Searching Content indexed under Strategy by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Cabinet Alerts Support Regulatory Change Management
Regulatory change increases overhead expense for financial institutions. The Cabinet "Alerts" tool allows managers to track regulatory developments, keep informed of the latest changes
United States
29 Jul 2019
2
IOSCO Defends 2018 Liquidity Risk Management Recommendations
IOSCO defended its 2018 Liquidity Risk Management ("LRM") recommendations for investment funds against recent criticism, reasserting
United States
26 Jul 2019
3
Trade Associations Propose Revisions To FRB Proposal On "Control" Rules
The ABA, SIFMA and the IIB made recommendations regarding a proposal (the "proposal") by the FRB to modify its regulations for determining "whether a company has the ability to exercise a controlling influence"...
United States
24 Jul 2019
4
Commission Interpretation – Standard Of Conduct For Investment Advisers
The Securities and Exchange Commission (the "SEC") on June 5, 2019 released an interpretation of the standard of conduct required by the Investment Advisers Act of 1940 (the "Advisers Act") of investment advisers as fiduciaries to their clients.
United States
11 Jul 2019
5
Premium Update: Sharpen Your Results With Cabinet Search (Video)
Using search on the Cadwalader Cabinet, you can easily find information specific to your practice from our library of over 200,000 documents.
United States
3 Jun 2019
6
Access Legal Intelligence With Cabinet Topic Pages (Video)
Cadwalader Cabinet "Topic Pages" improve and simplify legal research by providing access to regulatory and enforcement news, analysis, and practical work tools.
United States
5 Apr 2019
7
Shareholder Engagement With UK Companies – Proposed Changes To The Stewardship Framework
Two UK regulatory bodies are currently consulting on rules relating institutional shareholders' engagement with and stewardship of their investee companies.
UK
20 Mar 2019
8
IOSCO Urges Issuers To Disclose ESG Matters To Investors
IOSCO urged issuers to address environmental, social and governance ("ESG") matters in disclosures to investors.
United States
25 Jan 2019
9
Federal Register: Bank Regulators Propose "Streamlined" Call Reports For Qualifying Small Institutions
The proposal by the FRB, the FDIC and the Office of the Comptroller of the Currency to reduce regulatory reporting requirements for eligible small depository institutions was published in the Federal Register.
United States
22 Nov 2018
10
OCC Releases Enforcement Action Policies And Procedures Manuals
The Office of the Comptroller of the Currency ("OCC") released Policies and Procedures Manual 5310-13 ("PPM 5310-13").
United States
21 Nov 2018
11
CFTC Chair Giancarlo Defends Capitalism And Individual Liberty
At a "time of growing erosion and trust" and efforts "to increase political control over markets.
United States
21 Nov 2018
12
FRB To Implement New Supervisory Rating System
The Federal Reserve Board ("FRB") will implement a new supervisory rating system for large financial institutions.
United States
9 Nov 2018
13
SEC Enforcement Division Reviews FY 2018 Enforcement Actions
In its second annual report, the SEC Enforcement Division (the "Division") highlighted significant enforcement actions filed in FY 2018, discussed key initiatives and described ongoing agency priorities.
United States
9 Nov 2018
14
Federal Register: Treasury To Amend Filing Requests For Large Position Reporting Rules
The U.S. Treasury Department ("Treasury") final rule amending the Large Position Reporting rules ("LPR Rules") was published in the Federal Register.
United States
25 Oct 2018
15
FSOC Rescinds SIFI Determination From Prudential Financial; No Non-Bank SIFIs Remain
The Financial Stability Oversight Council ("FSOC") rescinded its determination that material financial distress at Prudential Financial, Inc. ("Prudential") could present a threat to U.S. financial stability.
United States
23 Oct 2018
16
ISDA Analyzes Treatment Of Uncleared Margin As Incentive To Clear
ISDA analyzed the use of uncleared margin for derivatives as an incentive to clear. In a new white paper that draws on internal research
United States
19 Oct 2018
17
SEC Issues Decision On Market Data Fees And Market Structure
The SEC issued an opinion and order regarding several administrative proceedings that at least temporarily rejected increases in market data fees.
United States
19 Oct 2018
18
Exchange Operators Call For Recusal Of SEC Director From Market Data Fee Lawsuit
In a motion filed with the SEC, NYSE and Nasdaq requested the recusal of SEC Division of Trading and Markets Director Brett Redfearn from the SEC's review of a dispute regarding market data fee increases.
United States
19 Oct 2018
19
Senate Banking Committee Considers State Of Cryptocurrency And Blockchain
The U.S. Senate Committee on Banking, Housing and Community Affairs held a hearing on the state of cryptocurrency and blockchain.
United States
19 Oct 2018
20
Federal Register: Bank Regulators Allow QFC Amendments To Unmargined Legacy Swaps
The U.S. "prudential regulators" final rule on uncleared swap margin requirements was published in the Federal Register.
United States
17 Oct 2018
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