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Searching Content indexed under Wealth Management by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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Agencies To Raise Asset Thresholds For Management Interlock Rules
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC (collectively, the "agencies") adopted a final rule to increase the major asset
United States
11 Oct 2019
2
Illinois Judge Holds That Courts Cannot Rule Retroactively On Validity Of State Debt
On August 29, 2019, an Illinois court denied a petition by a political activist and a hedge fund seeking leave to file a lawsuit claiming that approximately $16 billion of Illinois's
United States
9 Sep 2019
3
Trade Associations Propose Revisions To FRB Proposal On "Control" Rules
The ABA, SIFMA and the IIB made recommendations regarding a proposal (the "proposal") by the FRB to modify its regulations for determining "whether a company has the ability to exercise a controlling influence"...
United States
24 Jul 2019
4
OFAC Designates Nicolas Maduro's Son
OFAC designated the son of Venezuelan leader Nicolas Maduro Moros for contributing to the ongoing crisis in Venezuela.
United States
11 Jul 2019
5
SEC Asset Management Unit Names New Co-Chief Of Enforcement
The SEC named Adam S. Aderton as the new co-chief of the Asset Management Unit's Enforcement Division. Mr. Aderton, who replaces Anthony Kelly, will share the position with Dabney O'Riordan.
United States
20 May 2019
6
SEC Commissioner Elad Roisman Recommends Agency Consider Proxy Guidance For Asset Managers
SEC Commissioner Elad Roisman recommended that the agency consider additional guidance for asset managers with respect to the use of proxy advisory firms.
United States
2 Apr 2019
7
Federal Register: Agencies Propose Changes In Asset Thresholds For Management Interlock Rules
A proposal by the Comptroller of the Currency, Federal Reserve Board and FDIC to increase the major assets prohibition thresholds for management interlock rules ...
United States
6 Feb 2019
8
Agencies Propose Changes In Asset Thresholds For Management Interlock Rules
The Office of the Comptroller of the Currency, the Federal Reserve Board and the FDIC (collectively, the "agencies") ...
United States
28 Dec 2018
9
SEC Asset Management Unit Co-Chief To Leave Agency
SEC Enforcement Division Asset Management Unit Co-Chief Anthony S. Kelly will leave the agency prior to December 1, 2018.
United States
13 Nov 2018
10
Treasury Recommends Asset Management And Insurance Reforms
The U.S. Treasury Department ("Treasury") published its third report pursuant to President Donald J. Trump's Executive Order 13772, establishing core principles for regulation of the financial system...
United States
7 Nov 2017
11
CPO/CTA Settles NFA Charges Regarding Operation Of Offshore Pool Funds
A CPO and CTA paid a $60,000 fine to settle NFA Business Conduct Committee ("BCC") charges that it had committed a number of violations with respect to the operation of offshore pool funds.
United States
11 Nov 2016
12
SIFMA AMG Offers Recommendations On Treaty Entitlements For Non-CIV Fund Investors
SIFMA's Asset Management Group submitted comments in response to the Organization for Economic Cooperation and Development recent discussion draft on the treaty entitlement of non-Collective Investment Vehicle funds.
United States
29 Apr 2016
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