Searching Content indexed under Wealth Management by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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SIFMA AMG Supports FSOC "Activities-Based" Proposal For Combating Systemic Risks
In a comment letter, the SIFMA Asset Management Group ("SIFMA AMG") expressed support for a proposal by the Financial Stability Oversight Council.
United States
30 May 2019
SEC Asset Management Unit Names New Co-Chief Of Enforcement
The SEC named Adam S. Aderton as the new co-chief of the Asset Management Unit's Enforcement Division. Mr. Aderton, who replaces Anthony Kelly, will share the position with Dabney O'Riordan.
United States
20 May 2019
SEC Commissioner Elad Roisman Recommends Agency Consider Proxy Guidance For Asset Managers
SEC Commissioner Elad Roisman recommended that the agency consider additional guidance for asset managers with respect to the use of proxy advisory firms.
United States
2 Apr 2019
Federal Register: Agencies Propose Changes In Asset Thresholds For Management Interlock Rules
A proposal by the Comptroller of the Currency, Federal Reserve Board and FDIC to increase the major assets prohibition thresholds for management interlock rules ...
United States
6 Feb 2019
FSOC Recommends Additional Steps To Ensure U.S. Financial Stability
In a 2018 Annual Report, the Financial Stability Oversight Council ("FSOC") recommended that financial regulatory agencies take additional steps to ensure U.S. financial stability.
United States
4 Jan 2019
Agencies Propose Changes In Asset Thresholds For Management Interlock Rules
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC (collectively, the "agencies") ...
United States
28 Dec 2018
NFA Proposes Adoption Of CPO Internal Control Systems Interpretive Notice
The National Futures Association ("NFA") proposed adoption of an Interpretive Notice that requires commodity pool operators ("CPOs") to adopt internal control systems to deter fraud.
United States
18 Dec 2018
FTC Considers Anticompetitive Implications Of "Common Ownership" Investments
At a Federal Trade Commission ("FTC") hearing, industry professionals and experts debated the possible anticompetitive implications of institutional investors holding non-controlling equity...
United States
18 Dec 2018
Asset Managers Are Focus Of FTC Hearing On "Common Ownership" Investments
The Federal Trade Commission ("FTC" or the "Commission") convened a hearing on December 6, 2018 to better understand the possible anticompetitive implications of institutional investors...
United States
17 Dec 2018
IOSCO Proposes Framework To Evaluate Leverage Used By Investment Funds
In a Consultation Report, IOSCO proposed a framework to evaluate leverage used by investment funds.
United States
20 Nov 2018
SEC Asset Management Unit Co-Chief To Leave Agency
SEC Enforcement Division Asset Management Unit Co-Chief Anthony S. Kelly will leave the agency prior to December 1, 2018.
United States
13 Nov 2018
Under Advisement: SEC Scrutinizes Wealth Management Industry
Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management industry.
United States
22 Mar 2018
Treasury Recommends Asset Management And Insurance Reforms
The U.S. Treasury Department ("Treasury") published its third report pursuant to President Donald J. Trump's Executive Order 13772, establishing core principles for regulation of the financial system...
United States
7 Nov 2017
CPO/CTA Settles NFA Charges Regarding Operation Of Offshore Pool Funds
A CPO and CTA paid a $60,000 fine to settle NFA Business Conduct Committee ("BCC") charges that it had committed a number of violations with respect to the operation of offshore pool funds.
United States
11 Nov 2016
Finance Bill 2016: Criminal Offences And Civil Sanctions
Were the new offences and civil sanctions for tax evasion included in Finance Bill 2016 and, if so, when do these provisions have effect from?
United States
17 May 2016
SIFMA AMG Offers Recommendations On Treaty Entitlements For Non-CIV Fund Investors
SIFMA's Asset Management Group submitted comments in response to the Organization for Economic Cooperation and Development recent discussion draft on the treaty entitlement of non-Collective Investment Vehicle funds.
United States
29 Apr 2016
To Disclose Or Not To Disclose: Tax Shelters, Penalties, And Circular 230 In 2014
Disclosure requirements for participants in "reportable transactions."
United States
18 Jun 2014
Living Wills: FDIC Modifies, Finalizes Rules
On September 13, 2011, the Federal Deposit Insurance Corporation approved the final rule governing the implementation of the "living will" provision found in the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
28 Sep 2011
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