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Searching Content indexed under Corporate/Commercial Law by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
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
2
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
3
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
4
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
5
NASAA Summarizes Recent State Enforcement Trends
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of state enforcement actions.
United States
13 Sep 2019
6
NASAA Highlights Rising Cybersecurity Deficiencies Among Investment Advisers
The North American Securities Administrators Association ("NASAA") reported examination findings at state-registered investment advisers, highlighting the rising rate of cybersecurity deficiencies.
United States
12 Sep 2019
7
SEC Chair Jay Clayton Criticizes Foreign Counterparts For Lack Of Anti-Corruption Enforcement
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
United States
12 Sep 2019
8
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
9
SEC Revises Approach To Proxy No-Action Requests
The SEC Division of Corporate Finance (the "Division") revised its approach to no-action requests by companies wishing to exclude a shareholder's
United States
11 Sep 2019
10
Delaware Court Of Chancery Confirms Market-Based Factors Constitute The Best Indicators Of Fair Value
Three recent Delaware Court of Chancery appraisal decisions offer a wealth of guidance not only regarding the determination of a merger partner's fair value, but also regarding elements that
United States
10 Sep 2019
11
SEC Chair Jay Clayton Highlights "Fundamental Tenets" Embodied In Proxy Regulations
SEC Chair Jay Clayton asserted that the SEC's recent guidance and interpretation on proxy voting "embody two fundamental tenets."
United States
10 Sep 2019
12
Options Clearing Corp. Settles SEC And CFTC Charges For Risk Management Compliance Failings
The Options Clearing Corporation ("OCC") settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
United States
10 Sep 2019
13
OCIE Warns Advisers To Comply With Principal Trading And Agency Cross Transaction Provisions
The SEC Office of Compliance Inspections and Examinations ("OCIE") urged investment advisers to review written policies and procedures so as to maintain compliance with the restrictions
United States
10 Sep 2019
14
SEC Designates Taiwan Stock Exchange As "Designated Offshore Securities Market"
The SEC Division of Corporation Finance designated a Taiwan stock exchange as a "designated offshore securities market"
United States
9 Sep 2019
15
Companies Settle FTC Charges For EU-U.S. Privacy Shield Violations
Five companies settled FTC charges for falsely identifying themselves as participants in the EU-U.S. Privacy Shield framework, which allows companies
United States
9 Sep 2019
16
Too Many Stakeholders in the Kitchen
High-stakes corporate investigations into bribery, corruption, and other misconduct—whether focused on internal actors or third-party business partners
United States
5 Sep 2019
17
Reg. Tracker: September 1 to September 15
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates and effective dates. Click on the links below to view deadlines from September 1, 2019 to September 15, 2019.
United States
4 Sep 2019
18
SEC Charges Dual Registrant With Defrauding Advisory Clients
The SEC charged a dually-registered investment adviser and broker-dealer with defrauding advisory clients by investing their assets in high-cost share classes
United States
4 Sep 2019
19
Dallas Company Settles SEC Charges Of Operating Unregistered Digital Asset Exchange
A Dallas company agreed to settle SEC charges of operating an unregistered exchange and defrauding investors in unregistered digital assets offerings.
United States
2 Sep 2019
20
SEC Approves Options Clearing Corporation Rule Amendments On Theoretical Pricing Models
The SEC approved Options Clearing Corporation ("OCC") rule amendments enhancing the "Vanilla Option Model" and "Smoothing Algorithm."
United States
30 Aug 2019
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