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Cadwalader, Wickersham & Taft LLP
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By Patrick Calves
FINRA requested comments on a proposal to amend rules on supervision to allow for firms to conduct remote inspections of certain "qualifying offices."
By Steven Lofchie
CFTC Chair J. Christopher Giancarlo encouraged (i) reforming the rules recently adopted for regulating swap execution facilities ("SEFs") and (ii) engaging in collaborative efforts with other regulators...
By Adam Blakemore, Catherine Richardson
This Clients & Friends Memo considers tax announcements which might be made in the Autumn Budget.
By Jean Marie Bertrand, Pamela Landman, Brian McGovern, Paul Mourning, Sejin Park, Linda Swartz
On November 2, 2017, Republicans in the U.S. House of Representatives unveiled their tax reform bill (the "Bill"), entitled the "Tax Cuts and Jobs Act."
By Cadwalader, Wickersham & Taft LLP
The SEC announced the creation of a Fixed Income Market Structure Advisory Committee (the "Committee").
By Cadwalader, Wickersham & Taft LLP
SEC Co-Director of Enforcement Steven R. Peikin expressed his continued commitment to robust Foreign Corrupt Practices Act ("FCPA") enforcement.
By Cadwalader, Wickersham & Taft LLP
The FDIC, the Board of Governors of the Federal Reserve System and the Office of the Comptroller of the Currency proposed revisions to the Consolidated Reports of Condition and Income.
By Cadwalader, Wickersham & Taft LLP
CFTC Chief Innovation Officer and Director of LabCFTC Daniel Gorfine asserted that the LabCFTC initiative was intended to "make the CFTC more accessible to FinTech innovators" and to "inform the [CFTC]'s...
By Joseph Moreno
U.S. Treasury Undersecretary for Terrorism and Financial Intelligence Sigal Mandelker described strategies and priorities in combating terrorist financing, money laundering, and other threats...
By Cadwalader, Wickersham & Taft LLP
The MSRB filed an amendment with the SEC to a previous filing of proposed changes to MSRB Rule G-34 ("CUSIP Numbers").
By Cadwalader, Wickersham & Taft LLP
The OCIE found frequent deficiencies regarding municipal advisors' compliance with applicable registration, recordkeeping and supervisory regulations.
By Cadwalader, Wickersham & Taft LLP
The three institutions that are being granted relief in the letters – Banco Centroamericano de Integración Económica, the European Stability Mechanism...
By James Treanor
The U.S. Department of the Treasury Office of Foreign Assets Control ("OFAC") and the Department of Commerce Bureau of Industry and Security ("BIS")...
By Steven Lofchie
SEC Chair Jay Clayton laid out near-term narrowly focused regulatory goals and committed the agency over the long term to greater transparency.
By Jean Marie Bertrand, Mark Howe, Jason Schwartz, Gary Silverstein, Linda Swartz, Edward Wei
On November 2, 2017, Republicans in the House of Representatives released their long-anticipated tax reform bill (the "Bill").
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