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
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") fined a bank holding company for alleged improper execution of residential mortgage-related documents.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $875,000 to settle FINRA charges that it violated the Custody Rule (Exchange Act Rule 15c3-3) and several related FINRA rules.
By Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for allegedly failing to reasonably supervise mutual fund sales to ensure that eligible customers received ...
By Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") adopted a final amendment that will exempt certain financial institutions from the requirement of providing privacy disclosures ...
By Steven Lofchie
Financial Crimes Enforcement Network ("FinCEN") Director Kenneth A. Blanco outlined agency efforts to protect financial institutions from fraud relating to new uses of financial technology ...
By Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") set October 31, 2018 as the effective date for certain disclosure requirements related to virtual currency activities.
By Cadwalader, Wickersham & Taft LLP
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
By Cadwalader, Wickersham & Taft LLP
The Internal Revenue Service ("IRS") final regulations and removal of temporary regulations regarding the centralized partnership audit regime ...
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") warned investors of risks associated with "self-directed" individual retirement accounts ("SD-IRAs").
By Steven Lofchie
In a new report on interconnectedness and systemic risk, IOSCO, the Financial Stability Board, the Committee on Payments and Market Infrastructures ...
By Steven Lofchie
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
By Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") proposed a revision to a report that must be completed in connection with capital assessments and stress testing requirements.
By Cadwalader, Wickersham & Taft LLP
New York Department of Financial Services ("DFS") Superintendent Maria Vullo reminded all DFS-regulated entities covered by DFS's cybersecurity regulation ("covered entities") ...
By Cadwalader, Wickersham & Taft LLP
In a Mergers and Acquisitions Update, Cadwalader attorneys analyzed two recent decisions by the Delaware Court of Chancery ...
By Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") provided investors with guidance on traditional and non-traditional index funds.
Contributor's Topics
More...