Search
Searching Content indexed under Compliance by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next
 
Title
Country
Organisation
Author
Date
1
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
2
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
3
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
4
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
5
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
6
Reg. Tracker: August 16 To August 31 2019
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
29 Aug 2019
7
FDIC Approves Final Rule To Simplify Process For Deposit Insurance Determinations
The FDIC approved a final rule amendment to simplify the procedure for making insurance determinations for banks placed into receivership.
United States
29 Aug 2019
8
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
9
What Companies Should Know About Whistleblowers
Cadwalader attorneys described five compliance measures to minimize risk when responding to whistleblowers.
United States
9 Aug 2019
10
U.S. Company Settles OFAC Charges For Violating Iran Sanctions
A U.S. company agreed to settle OFAC charges for violating Iranian Transactions and Sanctions Regulations ("ITSR").
United States
9 Aug 2019
11
Five Things Every Company Should Know About SEC Whistleblowers
The recent payment of $50 million to a pair of whistleblowers should serve as a wake-up call to companies that the SEC's Whistleblower Program is alive and well.
United States
8 Aug 2019
12
In Your Best Interest: New Cabinet Tools To Support Regulatory Compliance
Regulatory change increases overhead expenses for financial institutions. Regulation Best Interest ("Reg. BI") significantly expands the obligations that broker-dealers owe to retail investors.
United States
6 Aug 2019
13
OCIE Issues Alert On Investment Adviser Supervision Of Individuals With Disciplinary Histories
The SEC Office of Compliance Inspections and Examinations ("OCIE") identified compliance deficiencies in the oversight practices of SEC-registered
United States
31 Jul 2019
14
DOJ Antitrust Division Introduces New Policy On Corporate Compliance
The DOJ Antitrust Division introduced a new policy under which corporations may receive credit for their existing compliance programs during criminal antitrust
United States
23 Jul 2019
15
Broker-Dealer Settles FINRA Charges for Failing to Maintain Supervisory System
A broker-dealer settled charges with FINRA for failing to maintain a system of supervisory control procedures that would have assured compliance with FINRA rules.
United States
22 Jul 2019
16
Reg. Tracker: July 1 To July 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates and expiration dates. Click on the links below to view deadlines from July 1, 2019
United States
18 Jul 2019
17
SEC Approves Amendments To MSRB Rules On Primary Offering Practices
The SEC approved amendments to MSRB Rule G-11 ("Primary Offering Practices") and MSRB Rule G-32 ("Disclosures in Connection with Primary Offerings")
United States
12 Jul 2019
18
FTC Reminds Market Participants Of Interlocking Prohibitions During Restructurings Or Acquisitions
The FTC reminded market participants to ensure that persons do not serve as officers or directors of competing companies during restructurings or acquisitions.
United States
11 Jul 2019
19
The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin And Collateral Segregation
The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable
United States
8 Jul 2019
20
SDNY Holds That Compliance Communications Are Not Protected Work Product
In a case concerning violations of the Investment Advisors Act, the U.S. District Court for the Southern District of New York ("SDNY") held that compliance communications are not protected.
United States
1 Jul 2019
Links to Result pages
 
1 2 3 4 5 6 7 8 9 10 11 . . .  
>>Next