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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
ISDA published a supplement (the "benchmarks supplement") that allows market participants to improve the "contractual robustness" of their interest rate, FX, equity and commodities transactions.
By Kyle DeYoung
The National Whistleblower Center ("NWC") urged the SEC to extend the comment deadline on a proposal amending the SEC whistleblower program.
By Cadwalader, Wickersham & Taft LLP
A futures trader and trading firm agreed to pay $2.3 million to settle CFTC charges related to a "spoofing" scheme to create the appearance of an order book imbalance.
By Nihal Patel
IOSCO provided guidance on the methods by which its members can ensure that retail investors are protected from OTC leveraged products.
By Joseph Moreno
In a newly released Virtual Markets Integrity Report, the Office of the New York State Attorney General ("NYAG") concluded that many virtual asset trading platforms lack the necessary policies.
By Robert Zwirb
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") affirmed that it would not recommend any enforcement action against several commodity pool operators ("CPOs") for failing to register as a CPO.
By Cadwalader, Wickersham & Taft LLP
FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.
By Robert Zwirb
The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to a commodity pool operator ("CPO") from the requirement to deliver quarterly account statements to pool participants within 30 days of each quarter.
By Cadwalader, Wickersham & Taft LLP
Two affiliated broker-dealers agreed to settle SEC charges for allegedly misleading institutional customers regarding the operation of a dark pool.
By Steven Lofchie
SEC Commissioner Robert J. Jackson Jr. urged the SEC to preserve the current role of proxy advisors in shareholder voting.
By Cadwalader, Wickersham & Taft LLP
The MSRB published FAQs relating to the use of municipal advisory client lists and case studies. The MSRB also requested comment on a draft compliance resource ...
By Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Brian Quintenz discussed ways in which he believes a lack of transparency during the financial crisis has been addressed ...
By Steven Lofchie
An amusement park and two former executives settled SEC charges for failing to disclose the extent to which a documentary film on the park's policies ...
By Cadwalader, Wickersham & Taft LLP
SIFMA and the Bank Policy Institute (collectively, the "associations") submitted comments to the Federal Reserve Board and the FDIC (collectively, the "agencies") ...
By Steven Lofchie
SEC Commissioner Hester M. Peirce urged the SEC to embrace FinTech innovation and permit more risk-taking by investors in cryptocurrencies.
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