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Searching Content indexed under Corporate and Company Law by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Company Settles Potential Civil Liability For Violations Of Cuban Assets Control Regulations
A Boston-based company (the "Company") settled potential civil liability on behalf of three of its current and former subsidiaries for alleged violations...
United States
16 Oct 2019
2
Federal Register: SEC Proposes To Update Bank Holding Company Statistical Disclosure Requirements
The SEC proposal to (i) update the statistical disclosures for bank and savings and loan registrants and (ii) eliminate redundant disclosures was published in the Federal Register.
United States
14 Oct 2019
3
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
4
Senators Introduce Bill To Require Reporting Of Beneficial Ownership Information
A bipartisan group of senators introduced a bill which would impose federal beneficial ownership reporting requirements
United States
8 Oct 2019
5
SEC Proposes Amending Rule Governing Quotations In OTC Securities
The SEC proposed amendments to SEA rules that would tighten the requirements that broker-dealers must meet before being permitted to post public quotations on OTC securities.
United States
7 Oct 2019
6
Data Services Company Settles SEC Charges For Accounting And Disclosure Violations
Publicly traded data services company Comscore, Inc. and its former CEO settled SEC charges for financial accounting and fraud.
United States
7 Oct 2019
7
ICI And MFA Respond To SEC Concept Release On Securities Act Registration Exemptions
The Investment Company Institute ("ICI") and the Managed Funds Association ("MFA") responded to an SEC concept release on Securities Act registration exemptions that facilitate capital raising.
United States
4 Oct 2019
8
SEC Proposes to Update Bank Holding Company Statistical Disclosure Requirements
The SEC proposed new rules and amendments that would (i) update the statistical disclosures for bank and savings and loan registrants
United States
24 Sep 2019
9
SEC Proposes Amendments To Modernize Disclosure Requirements
The Securities and Exchange Commission has proposed amendments to the business description, legal proceedings and risk factor disclosures required by registered companies
United States
24 Sep 2019
10
House Approves Bill To Improve Agency Coordination Of Bank Services Company Examinations
The House approved a bill designed to make bank service company examinations more efficient by improving coordination among regulators.
United States
20 Sep 2019
11
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
12
Delaware Court Of Chancery Confirms Market-Based Factors Constitute The Best Indicators Of Fair Value
Three recent Delaware Court of Chancery appraisal decisions offer a wealth of guidance not only regarding the determination of a merger partner's fair value, but also regarding elements that
United States
10 Sep 2019
13
Companies Settle FTC Charges For EU-U.S. Privacy Shield Violations
Five companies settled FTC charges for falsely identifying themselves as participants in the EU-U.S. Privacy Shield framework, which allows companies
United States
9 Sep 2019
14
Options Clearing Corporation Proposes Rule Change To Enhance "Vanilla Option Model" And "Smoothing Algorithm"
The Options Clearing Corporation ("OCC") proposed a rule change to enhance the "Vanilla Option Model" and "Smoothing Algorithm."
United States
13 Aug 2019
15
SEC Commissioner Hester Peirce Champions "Marie Kondo" Approach to Regulation
SEC Commissioner Hester M. Peirce expressed support for SEC Chair Jay Clayton's initiative to review outdated regulations.
United States
13 Aug 2019
16
SEC Sues Adviser For Breach Of Fiduciary Duty And Undisclosed Conflicts Of Interest
The SEC sued an investment adviser for breach of fiduciary duty and undisclosed conflicts of interest related to revenue sharing arrangements that affected transactions in mutual fund shares.
United States
8 Aug 2019
17
NASAA Advises Companies And Investors On Use Of Initial Loan Procurements
The North American Securities Administrators Association ("NASAA") advised companies utilizing blockchain technology on an "alternative"
United States
31 Jul 2019
18
Lawmakers Introduce Bill To Regulate Change In Control Transactions
Senators Elizabeth Warren, Tammy Baldwin and Sherrod Brown, and Representatives Mark Pocan and Pramila Jayapal introduced a bill to govern the private funds that engage in change in control transactions.
United States
29 Jul 2019
19
On Wealth: The Modern Evolution Of The Trust Company
During the past decade there has been a significant shift in the ownership and structure of the private trust business that serves high net worth individuals and families in the United States
United States
19 Jul 2019
20
Another Merger Challenge Demonstrates The Limits Of Corwin
According to the complaint, Virtu became interested in acquiring KCG after concluding, in late 2016, that KCG's stock price was depressed.
United States
15 Jul 2019
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