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Cadwalader, Wickersham & Taft LLP
 
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By Cadwalader, Wickersham & Taft LLP
The CFTC warned customers about virtual currency pump-and-dump schemes conducted in unregulated online cash markets.
By Steven Lofchie
The Federal Trade Commission ("FTC") returned more than $2.9 million to the victims of an alleged payday lending fraud scheme.
By Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted temporary no-action relief to the wholly owned subsidiary (Shorcan, Inc., or "Shorcan") of a futures exchange (Intercontinental Exchange, Inc., or "ICE") from certain registration requirements for introducing brokers ("IBs") and the associated persons of introducing brokers ("APs").
By Nihal Patel
The Subcommittee on Capital Markets, Securities and Investments reviewed legislative proposals relevant to derivatives end users.
By Cadwalader, Wickersham & Taft LLP
SEC Commissioner Robert Jackson examined the governance of companies with perpetual dual-class stock ownership structures.
By Steven Baker, Elizabeth Clay, Janaki Tampi
On 8 May 2017, the Chancellor of the High Court in Bilta v RBS confirmed that in certain circumstances litigation privilege may protect documents created in the context of an internal investigation.
By Cadwalader, Wickersham & Taft LLP
The SEC named Kyle Moffatt as Chief Accountant in the Division of Corporation Finance (the "Division").
By Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") granted no-action relief to closed-end management investment company Eagle Point Credit Company Inc., ("Fund") that will allow the company to file post-effective amendments to its registration statement, pursuant to Securities Act Rule 486(b).
By Cadwalader, Wickersham & Taft LLP
Millennials are most vulnerable to FinTech fraud, according to a new North American Securities Administrators Association Pulse Survey of securities regulators.
By Cadwalader, Wickersham & Taft LLP
The MSRB is seeking public comments on a draft of frequently asked questions ("FAQs") related to certain aspects of MSRB Rule G-42 concerning the duties of non-solicitor municipal advisors.
By Nihal Patel
The CFTC approved an amendment that replaces the lettering system used in its list of defined terms (CFTC Rule 1.3) with an alphabetized list.
By Cadwalader, Wickersham & Taft LLP
U.S. Bancorp and its operating subsidiary, U.S. Bank, entered into agreements to pay $613 million to resolve allegations that U.S. Bank broke Bank Secrecy Act/Anti-Money Laundering ("BSA/AML") rules.
By Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo reaffirmed his commitment to a cross-border deference-based approach to clearinghouse regulation, encouraged expanded Congressional oversight over virtual currencies, and provided updates on several rulemaking initiatives.
By Nihal Patel
FINRA enhanced the functionality of its Regulatory Extension ("REX") system, which allows firms to electronically submit requests for extensions of time pursuant to FINRA Rule 4210.
By Steven Lofchie
The CFTC Technology Advisory Committee ("TAC") considered challenges posed by new technologies.
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