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Searching Content indexed under Finance and Banking 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
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
10
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
11
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
12
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
13
FCM Settles CFTC Charges For Providing Insufficient Audit Trail Data
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")
United States
13 Sep 2019
14
Former CCO Settles FINRA Charges For Failure To Update Information Within Required Time Period
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
United States
13 Sep 2019
15
Associated Person Settles CFTC And CME Charges For Unauthorized Trading, Violating Position Limits
The associated person of an introducing broker agreed to settle CFTC and CME charges (see here and here, respectively) for fraudulent solicitation
United States
12 Sep 2019
16
Representative Sanctioned For Unsuitable Recommendation Of Complex Financial Product
A general securities representative settled FINRA charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds ("LIETFs")
United States
12 Sep 2019
17
FRB Proposes Capital Requirements For Certain Supervised Insurance Companies
The Federal Reserve Board ("FRB") requested comment on a proposal to establish capital requirements for certain supervised insurance companies.
United States
11 Sep 2019
18
SIFMA Urges Reform Of The CCAR Framework, Finds Key Components Not "Reasonably Plausible"
SIFMA urged the Federal Reserve Board to revise the Global Market Shock ("GMS") and Large Counterparty Default ("LCD") components of the Comprehensive Capital Analysis and Review ("CCAR") framework.
United States
11 Sep 2019
19
NYDFS Approves First Gold-Backed Virtual Currency
The New York State Department of Financial Services ("NYDFS") authorized an existing NYDFS licensee to offer a gold-backed virtual currency.
United States
11 Sep 2019
20
Attorneys Analyze Delaware Court Decisions On "Fair Value"
Cadwalader attorneys analyzed three recent appraisal decisions from the Delaware Court of Chancery relating to the determination of a merger partner's "fair value."
United States
11 Sep 2019
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