Contributor Page
Cadwalader, Wickersham & Taft LLP
 
Email  |  Website  |  Articles
Contact Details
Tel: +1 212 5046000
Fax: +1 212 5046666
200 Liberty Street New York
New York
NY 10281
United States
Awards
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
Contributor Most Read
By Cadwalader, Wickersham & Taft LLP
Regulatory change significantly increases overhead expenses for financial institutions. The Cabinet offers tools that allow firms and individuals to track regulatory developments
By Cadwalader, Wickersham & Taft LLP
The CFTC issued the 2019 fee schedule for overseeing the rule enforcement programs of regulated exchanges and NFA.
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporate Finance and Office of Mergers and Acquisitions granted no-action relief to a Maryland-based real estate investment trust (the "REIT") from Securities Exchange Act
By Cadwalader, Wickersham & Taft LLP
SEC Chief Accountant Sagar Teotia reviewed domestic and international accounting and auditing developments in the capital markets.
By Robert Zwirb
Representative Jahana Hayes (D-CT) introduced a bill to amend the CEA to increase the protection of proprietary information
By Cadwalader, Wickersham & Taft LLP
U.S. Treasury Department Undersecretary for Terrorism and Financial Intelligence ("TFI") Sigal P. Mandelker described the evolution and strategy behind the administration's counterterrorism efforts.
By Cadwalader, Wickersham & Taft LLP
North American Securities Administrators Association ("NASAA") President Christopher Gerold will focus on compliance enforcement
By Steven Lofchie
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
By Cadwalader, Wickersham & Taft LLP
President Donald J. Trump signed an Executive Order to strengthen and expand sanctions authorities that combat international terrorism.
By Cadwalader, Wickersham & Taft LLP
The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail ("CAT").
By Steven Lofchie
New York Attorney General Letitia James and several other state attorneys general (the "Plaintiffs") sued the SEC, alleging that Regulation "Best Interest" ("Reg. BI")
By Cadwalader, Wickersham & Taft LLP
The recently approved SEC Proxy-Advisor Guidance and Interpretation and Guidance on Proxy Voting Advice were published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement ("Division")
By Cadwalader, Wickersham & Taft LLP
A former Chief Compliance Officer/General Securities Principal ("CCO/GSP") settled FINRA charges for failing to (i) update employee forms concerning reportable events within 30 days of discovery
By Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of state enforcement actions.
Contributor's Topics
More...