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Searching Content indexed under Employment and HR 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
Federal Register: DOL Adopts Final Rule Allowing Use Of Multiple Employer Plans
The DOL final rule allowing small businesses to join together to sponsor 401k plans for their employees was published in the Federal Register.
United States
8 Aug 2019
3
CFTC Awards Whistleblowers Approximately $2 Million
The CFTC awarded two whistleblowers approximately $2 million for information that led to a CFTC investigation
United States
16 Jul 2019
4
CFTC Awards Whistleblower Approximately $2.5 Million
The CFTC awarded approximately $2.5 million to an individual whistleblower for information provided in connection with a CFTC action
United States
8 Jul 2019
5
OIG Criticizes CFTC's Stress Testing Program
In its semi-annual report to Congress covering the period October 1st, 2018 through March 31st, 2019, the CFTC Office of the Inspector General ("OIG") expressed "disappoint[ment]".
United States
27 Jun 2019
6
CFTC Awards Whistleblower Approximately $1.5 Million
The CFTC awarded approximately $1.5 million to an individual whistleblower for information provided in connection ...
United States
24 May 2019
7
CFTC Awards Over $2 Million To Individual Whistleblower
The CFTC awarded more than $2 million to an individual whistleblower for information provided in connection with a CFTC ...
United States
14 Mar 2019
8
FINRA Proposes Conflict Of Interest Restrictions On Former FINRA Employees
FINRA proposed the adoption of a conflict of interest rule for former FINRA employees.
United States
30 Oct 2018
9
DOL Proposes Regulation To Allow Use Of Multiple Employer Plans
The DOL proposed a new regulation to allow small businesses to join together to sponsor 401k plans for their employees.
United States
26 Oct 2018
10
SEC Awards Nearly $4 Million To Overseas Whistleblower
The SEC awarded approximately $4 million to an overseas whistleblower whose tip led to a successful enforcement action.
United States
28 Sep 2018
11
SEC Reduces Whistleblower Award Due To Delayed Reporting
The SEC reduced a whistleblower award after discovering that the whistleblower financially benefited from waiting to report the misconduct.
United States
20 Sep 2018
12
SEC Awards Second Largest Whistleblower Award
The SEC awarded more than $54 million to two whistleblowers for providing critical information that resulted in an enforcement action.
United States
12 Sep 2018
13
SEC Warns Investors of Risks In Self-Directed IRAs
The SEC Office of Investor Education and Advocacy ("OIEA") warned investors of risks associated with "self-directed" individual retirement accounts ("SD-IRAs").
United States
17 Aug 2018
14
CFTC Issues $45 Million In Whistleblower Awards
The CFTC granted multiple whistleblower awards totaling over $45 million.
United States
13 Aug 2018
15
Federal Register: SEC Proposes Amendments To Whistleblower Program
An SEC proposal to amend its whistleblower program under Exchange Act Section 21F (see previous coverage) was published in the Federal Register, along with proposed interpretive...
United States
26 Jul 2018
16
State Attorneys General File Motion To Reconsider DOL Fiduciary Rule Decision
Acting New York Attorney General Barbara D. Underwood, along with the Attorneys General of California and Oregon, requested that the Fifth Circuit Court of Appeals reconsider its recent decision ...
United States
21 May 2018
17
DOL Issues Temporary Non-Enforcement Policy On Fiduciary Rule
The DOL issued a Field Assistance Bulletin setting forth a temporary enforcement policy applicable to investment advice fiduciaries.
United States
15 May 2018
18
Fifth Circuit Denies Motions To Intervene In DOL Fiduciary Lawsuit
A three-judge panel for the Fifth Circuit Court of Appeals issued an Order.
United States
8 May 2018
19
DOL Clarifies Plan Fiduciary Responsibilities
On April 23, 2018, the DOL issued a Field Assistance Bulletin ("FAB") to provide the national and regional offices of the Employee Benefits Security Administration assistance with addressing questions received...
United States
3 May 2018
20
Fifth Circuit Vacates Fiduciary Rule
A three-judge panel of the Fifth Circuit Court of Appeals issued a ruling vacating the Department of Labor ("DOL") fiduciary rule, as well as two new related exemptions ...
United States
20 Mar 2018
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