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Searching Content indexed under Compliance by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Reg. Tracker: November 16 to November 30
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and compliance dates.
United States
21 Nov 2019
2
Federal Register: SEC Adopts Final Rule Updating ETF Approval Process
An SEC final rule and form amendments codifying existing Investment Company Act exemptive relief related to exchange-traded funds ("ETFs")
United States
7 Nov 2019
3
FINRA To Retain Annual Compliance Meeting Requirement
After review, FINRA determined that it will leave in place a rule requiring registrants to participate in an annual compliance meeting
United States
5 Nov 2019
4
NFA Updates FAQs Concerning New Swaps Proficiency Requirements
As previously covered, NFA amended (i) NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) the Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
United States
20 Sep 2019
5
Cadwalader Cabinet Takes On Regulatory Change Management (Video)
Regulatory change significantly increases overhead expenses for financial institutions. The Cabinet offers tools that allow firms and individuals to track regulatory developments
United States
19 Sep 2019
6
Reg. Tracker: August 16 To August 31 2019
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
29 Aug 2019
7
FDIC Approves Final Rule To Simplify Process For Deposit Insurance Determinations
The FDIC approved a final rule amendment to simplify the procedure for making insurance determinations for banks placed into receivership.
United States
29 Aug 2019
8
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
9
What Companies Should Know About Whistleblowers
Cadwalader attorneys described five compliance measures to minimize risk when responding to whistleblowers.
United States
9 Aug 2019
10
OCIE Issues Alert On Investment Adviser Supervision Of Individuals With Disciplinary Histories
The SEC Office of Compliance Inspections and Examinations ("OCIE") identified compliance deficiencies in the oversight practices of SEC-registered
United States
31 Jul 2019
11
Broker-Dealer Settles FINRA Charges for Failing to Maintain Supervisory System
A broker-dealer settled charges with FINRA for failing to maintain a system of supervisory control procedures that would have assured compliance with FINRA rules.
United States
22 Jul 2019
12
Reg. Tracker: July 1 To July 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates and expiration dates. Click on the links below to view deadlines from July 1, 2019
United States
18 Jul 2019
13
SEC Approves Amendments To MSRB Rules On Primary Offering Practices
The SEC approved amendments to MSRB Rule G-11 ("Primary Offering Practices") and MSRB Rule G-32 ("Disclosures in Connection with Primary Offerings")
United States
12 Jul 2019
14
FTC Reminds Market Participants Of Interlocking Prohibitions During Restructurings Or Acquisitions
The FTC reminded market participants to ensure that persons do not serve as officers or directors of competing companies during restructurings or acquisitions.
United States
11 Jul 2019
15
CFTC Inspector General Urges Agency To Address Deficiencies In Data Governance Program
The CFTC Office of the Inspector General highlighted deficiencies in the agency's Data Governance program and advised the CFTC to improve its Integrated Surveillance System platform or transfer to a better platform.
United States
27 Jun 2019
16
Reg. Tracker: June 1 To June 15
The Cabinet Regulatory Tracker is a list of upcoming compliance dates, comment deadlines, expiration dates and effective dates. Click on the links below to view deadlines from June 1, 2019 to June 15, 2019.
United States
18 Jun 2019
17
Cadwalader Updates Disclosure Chapter Of CEA Guide
The Cabinet updated the "Disclosure, Reporting, and Recordkeeping Requirements" chapter of the Cadwalader Guide to Commodities Regulation.
United States
14 Jun 2019
18
CFTC Division Director Highlights Efforts To Reduce Compliance Costs And Improve Market Quality
CFTC Division of Swap Dealer and Intermediary Oversight (the "Division") Director Matthew Kulkin described the agency's efforts to reduce costs of compliance and improve market quality.
United States
30 May 2019
19
NFA Proposes Updates To Swap Activity Supervisory Obligations
The NFA proposed incorporating certain supervisory requirements and technical amendments that concern swap activities in its Compliance Rules and Interpretive Notices.
United States
29 May 2019
20
NFA To Apply Compliance Rules To Swaps
The NFA adopted amendments to NFA Compliance Rules and Interpretive Notices to cover transactions and counterparties involving swaps.
United States
29 May 2019
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