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By Cadwalader, Wickersham & Taft LLP
The MSRB proposed a rule change that would increase the professional fee for municipal advisors. The assessment fee charged under MSRB Rule A-11 for each municipal advisor
By Cadwalader, Wickersham & Taft LLP
An SEC proposal to facilitate the implementation of the Consolidated Audit Trail ("CAT") was published in the Federal Register. Comments on the proposal must be submitted by October 28, 2019.
By Cadwalader, Wickersham & Taft LLP
A chief compliance officer of an investment firm settled CFTC charges for fraudulently soliciting investments in commodity pools
By Cadwalader, Wickersham & Taft LLP
The SEC charged an investment advisory firm and its principal and sole owner for defrauding advisory clients.
By Cadwalader, Wickersham & Taft LLP
OFAC sanctioned three North Korean state-sponsored cyber groups for engaging in malicious cyber activities against critical infrastructure.
By Cadwalader, Wickersham & Taft LLP
The Financial Accounting Standards Board ("FASB") requested comments on a proposed "Accounting Standards Update" aimed at easing potential accounting burdens on loan market participants
By Cadwalader, Wickersham & Taft LLP
In a joint statement, the CFTC, the European Commission and the European Securities Markets Authority ("ESMA") reaffirmed their commitment to "transatlantic cooperation" among regulators.
By Cadwalader, Wickersham & Taft LLP
The CFTC extended the comment deadline for two proposals concerning amendments to rules for cross-border derivatives clearing organizations ("DCOs").
By Steven Lofchie
The SEC provided separate (see here and here) small-entity guides for broker-dealer compliance with the Client Relationship Summary ("Form CRS") and Regulation Best Interest ("Reg. BI").
By Nihal Patel
The Directors of the Division of Clearing and Risk and the Division of Swap Dealer and Intermediary Oversight (the "Directors") responded to inquiries regarding the treatment of separate accounts
By Cadwalader, Wickersham & Taft LLP
SEC Division of Corporation Finance Associate Director James M. Daly will retire at the end of September.
By Cadwalader, Wickersham & Taft LLP
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.
By Cadwalader, Wickersham & Taft LLP
ISDA issued a set of legal guidelines for smart derivatives contracts in a paper aimed at aiding the development of collateral management technology.
By Cadwalader, Wickersham & Taft LLP
The House approved a bill designed to make bank service company examinations more efficient by improving coordination among regulators.
By Cadwalader, Wickersham & Taft LLP
The Senate Committee on Banking, Housing and Urban Affairs considered testimony on the "serious concern" caused by an International Association of Insurance Supervisors'
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