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Searching Content by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
SEC Division Of Corporation Finance Associate Director To Retire
SEC Division of Corporation Finance Associate Director James M. Daly will retire at the end of September.
United States
20 Sep 2019
2
NFA Updates FAQs Concerning New Swaps Proficiency Requirements
As previously covered, NFA amended (i) NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) the Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
United States
20 Sep 2019
3
ISDA Provides Guidelines For Automated Collateral Management
ISDA issued a set of legal guidelines for smart derivatives contracts in a paper aimed at aiding the development of collateral management technology.
United States
20 Sep 2019
4
House Approves Bill To Improve Agency Coordination Of Bank Services Company Examinations
The House approved a bill designed to make bank service company examinations more efficient by improving coordination among regulators.
United States
20 Sep 2019
5
Senate Committee Members Skeptical On International Insurance Regulation
The Senate Committee on Banking, Housing and Urban Affairs considered testimony on the "serious concern" caused by an International Association of Insurance Supervisors'
United States
20 Sep 2019
6
FinCEN Deputy Director Encourages Anti-Money Laundering Innovation
FinCEN Deputy Director Jamal El-Hindi described agency efforts to encourage innovation in anti-money laundering.
United States
20 Sep 2019
7
Representative Proposes To Exempt Charitable Organizations From CPO Regulation
Representative Angie Craig (D-MN) introduced a bill that would amend the CEA to exempt certain persons acting for or providing advice on CFTC-regulated products to charitable organizations
United States
20 Sep 2019
8
Financial Services Subcommittee Examines Private Market Exemptions
At a House Financial Services Subcommittee hearing, representatives considered testimony on the impact of the growth of the private securities markets.
United States
20 Sep 2019
9
Cadwalader Cabinet Takes On Regulatory Change Management (Video)
Regulatory change significantly increases overhead expenses for financial institutions. The Cabinet offers tools that allow firms and individuals to track regulatory developments
United States
19 Sep 2019
10
CFTC Issues 2019 Schedule Of Fees For Oversight Of SROs
The CFTC issued the 2019 fee schedule for overseeing the rule enforcement programs of regulated exchanges and NFA.
United States
19 Sep 2019
11
SEC Grants Exemption To Real Estate Investment Trust To Repurchase Shares
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
United States
19 Sep 2019
12
SEC Chief Accountant Highlights LIBOR Transition Reporting And Auditing Issues
SEC Chief Accountant Sagar Teotia reviewed domestic and international accounting and auditing developments in the capital markets.
United States
19 Sep 2019
13
Congressional Representative Introduces Bill To Increase Protection Of Proprietary Information Under The CEA
Representative Jahana Hayes (D-CT) introduced a bill to amend the CEA to increase the protection of proprietary information
United States
19 Sep 2019
14
Treasury Undersecretary Highlights Executive Order Enhancing Counterterrorism And Sanctions Authority
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.
United States
19 Sep 2019
15
Newly Elected NASAA President Outlines Priorities
North American Securities Administrators Association ("NASAA") President Christopher Gerold will focus on compliance enforcement
United States
19 Sep 2019
16
CFTC Grants No-Action Relief to CPO from Registration Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
United States
13 Sep 2019
17
President Trump Signs Executive Order To Strengthen Sanctions Authorities
President Donald J. Trump signed an Executive Order to strengthen and expand sanctions authorities that combat international terrorism.
United States
13 Sep 2019
18
SEC Proposes Measures To Expedite Implementation Of CAT
The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail ("CAT").
United States
13 Sep 2019
19
State Attorneys General Challenge SEC Regulation Best Interest
New York Attorney General Letitia James and several other state attorneys general (the "Plaintiffs") sued the SEC, alleging that Regulation "Best Interest" ("Reg. BI")
United States
13 Sep 2019
20
Federal Register: SEC Issues Proxy-Advisor Guidance And Rule Interpretations
The recently approved SEC Proxy-Advisor Guidance and Interpretation and Guidance on Proxy Voting Advice were published in the Federal Register.
United States
13 Sep 2019
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