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By Cadwalader, Wickersham & Taft LLP
The U.S. "prudential regulators" final rule on uncleared swap margin requirements was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of enforcement actions.
By Cadwalader, Wickersham & Taft LLP
The FDIC reminded FDIC-supervised institutions subject to the Home Mortgage Disclosure Act ("HMDA") of a recently Consumer Financial Protection Bureau ("CFPB") interpretive and procedural rule.
By Nihal Patel
SEC Commissioner Hester Peirce laid out an agenda for implementing the agency's security-based swap rules under Title VII of Dodd-Frank.
By Joseph Moreno
The U.S. Department of the Treasury ("Treasury") issued temporary regulations to implement the Foreign Investment Risk Review Modernization Act ("FIRRMA").
By Steven Lofchie
SEC Commissioner Hester M. Peirce advocated for a flexible regulatory approach that allows firms to experiment with new technologies and provides investors with a wider selection of investment choices.
By Cadwalader, Wickersham & Taft LLP
According to the SEC Order, three accountants failed to accurately complete an audit of a company's 2013 Form 10-K.
By Cadwalader, Wickersham & Taft LLP
Throughout this scheme, the principal allegedly failed to disclose to his customers that his personal company was the counterparty to their block trades.
By Cadwalader, Wickersham & Taft LLP
SEC Office of Municipal Securities Director Rebecca Olsen discussed the importance of adequate disclosures in the municipal securities market for retail investors.
By Cadwalader, Wickersham & Taft LLP
The CFTC and DOJ entered charges against a group of former commodities traders in connection with an alleged $60 million spoofing conspiracy.
By Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") amended its Bylaw 1303 governing a Member's failure to timely pay certain fees
By Cadwalader, Wickersham & Taft LLP
The SEC outlined how it intends to adapt to evolving financial markets and technologies in a new report, Strategic Plan for 2018-2022.
By Cadwalader, Wickersham & Taft LLP
Covered activities are authorized through 12:01 a.m. Eastern Standard Time on December 12, 2018.
By Cadwalader, Wickersham & Taft LLP
FinCEN's advisory includes specific red flags and deceptive practices that may be employed by Iran.
By Steven Lofchie
The case serves as a reminder that many of the largest frauds at financial institutions have been perpetrated by employees of those institutions.
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