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Searching Content indexed under Compliance by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Marketing And Printing Services Provider Settles FCPA Charges
A Wisconsin-based marketing digital and print services provider settled SEC charges that it violated the anti-bribery and books and records provisions of the Foreign Corrupt Practices Act
United States
8 Oct 2019
2
U.S. Prudential Regulators To Propose Amendments To Swap Margin Rules
The FDIC proposed amending its rules governing margin requirements for uncleared swaps and security-based swaps.
United States
24 Sep 2019
3
SEC Provides Small-Entity Compliance Guides For Form CRS And Reg. BI
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").
United States
23 Sep 2019
4
CFTC Clarifies Treatment Of FCM Separate Accounts
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
United States
23 Sep 2019
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
What Companies Should Know About Whistleblowers
Cadwalader attorneys described five compliance measures to minimize risk when responding to whistleblowers.
United States
9 Aug 2019
14
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
15
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
16
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
17
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
18
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
19
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
20
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
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