ARTICLE
3 November 2021

Nov 1: The Risk Was Clear

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
FICC settles SEC charges for liquidity policy and margin risk management violations. Financial Services Subcommittee questions experts on China-based issuers.
United States Finance and Banking

1127566a.jpg

FICC settles SEC charges for liquidity policy and margin risk management violations. Financial Services Subcommittee questions experts on China-based issuers. CFTC introducing broker settles NFA charges for records and registration violations. MSRB reviews initiatives under strategic plan. CFPB appoints new Assistant Directors for supervision and for enforcement.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

Mondaq uses cookies on this website. By using our website you agree to our use of cookies as set out in our Privacy Policy.

Learn More