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Searching Content indexed under Compliance by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
What Companies Should Know About Whistleblowers
Cadwalader attorneys described five compliance measures to minimize risk when responding to whistleblowers.
United States
9 Aug 2019
2
U.S. Company Settles OFAC Charges For Violating Iran Sanctions
A U.S. company agreed to settle OFAC charges for violating Iranian Transactions and Sanctions Regulations ("ITSR").
United States
9 Aug 2019
3
Five Things Every Company Should Know About SEC Whistleblowers
The recent payment of $50 million to a pair of whistleblowers should serve as a wake-up call to companies that the SEC's Whistleblower Program is alive and well.
United States
8 Aug 2019
4
In Your Best Interest: New Cabinet Tools To Support Regulatory Compliance
Regulatory change increases overhead expenses for financial institutions. Regulation Best Interest ("Reg. BI") significantly expands the obligations that broker-dealers owe to retail investors.
United States
6 Aug 2019
5
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
6
DOJ Antitrust Division Introduces New Policy On Corporate Compliance
The DOJ Antitrust Division introduced a new policy under which corporations may receive credit for their existing compliance programs during criminal antitrust
United States
23 Jul 2019
7
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
8
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
9
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
10
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
11
The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin And Collateral Segregation
The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable
United States
8 Jul 2019
12
SDNY Holds That Compliance Communications Are Not Protected Work Product
In a case concerning violations of the Investment Advisors Act, the U.S. District Court for the Southern District of New York ("SDNY") held that compliance communications are not protected.
United States
1 Jul 2019
13
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
14
Broker-Dealer Pays Penalty For AML Deficiencies In Connection With Penny Stocks
A broker-dealer settled FINRA charges for alleged deficiencies in its anti-money laundering ("AML") compliance program in connection with penny stock transactions.
United States
27 Jun 2019
15
SEC Adopts Regulation Best Interest
The Securities and Exchange Commission (the "SEC") on June 5 adopted Regulation Best Interest: The Broker-Dealer Standard of Conduct
United States
25 Jun 2019
16
CFTC Permits Certain Amendments To "Legacy" Swaps Under Margin Rules
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief to swap dealers to permit certain amendments to "legacy swaps" without causing them to lose their
United States
21 Jun 2019
17
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
18
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
19
SEC OCIE Director Urges Firms To Establish And Maintain Strong Compliance Programs
SEC Office of Compliance Inspections and Examinations ("OCIE") Director Peter Driscoll urged firms to establish and maintain strong compliance programs that address.
United States
31 May 2019
20
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
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