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Searching Content indexed under Compliance by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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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
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
4
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
5
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
6
What Companies Should Know About Whistleblowers
Cadwalader attorneys described five compliance measures to minimize risk when responding to whistleblowers.
United States
9 Aug 2019
7
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
8
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
9
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
10
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
11
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
12
CFTC Inspector General Urges Agency To Address Deficiencies In Data Governance Program
The CFTC Office of the Inspector General highlighted deficiencies in the agency's Data Governance program and advised the CFTC to improve its Integrated Surveillance System platform or transfer to a better platform.
United States
27 Jun 2019
13
Reg. Tracker: June 1 To June 15
The Cabinet Regulatory Tracker is a list of upcoming compliance dates, comment deadlines, expiration dates and effective dates. Click on the links below to view deadlines from June 1, 2019 to June 15, 2019.
United States
18 Jun 2019
14
Cadwalader Updates Disclosure Chapter Of CEA Guide
The Cabinet updated the "Disclosure, Reporting, and Recordkeeping Requirements" chapter of the Cadwalader Guide to Commodities Regulation.
United States
14 Jun 2019
15
CFTC Division Director Highlights Efforts To Reduce Compliance Costs And Improve Market Quality
CFTC Division of Swap Dealer and Intermediary Oversight (the "Division") Director Matthew Kulkin described the agency's efforts to reduce costs of compliance and improve market quality.
United States
30 May 2019
16
NFA Proposes Updates To Swap Activity Supervisory Obligations
The NFA proposed incorporating certain supervisory requirements and technical amendments that concern swap activities in its Compliance Rules and Interpretive Notices.
United States
29 May 2019
17
NFA To Apply Compliance Rules To Swaps
The NFA adopted amendments to NFA Compliance Rules and Interpretive Notices to cover transactions and counterparties involving swaps.
United States
29 May 2019
18
SEC OCIE Director Highlights Risks To Retail Investors
SEC Office of Compliance Inspections and Examinations ("OCIE") Director Peter Driscoll highlighted key risks facing retail investors caused by bad actors and poor internal controls.
United States
27 May 2019
19
SEC Extends Compliance Date For Regulations On Order-Routing Disclosure
The SEC extended the compliance date for certain Regulation NMS rule amendments that were adopted to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock."
United States
14 May 2019
20
NFA Reminds Members To Satisfy New Swaps Proficiency Requirements
NFA reminded members of recently amended (i) NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) Interpretive Notice implementing swaps proficiency requirements.
United States
9 Apr 2019
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