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By Steven Lofchie
The SEC proposed amending advertising and solicitation rules under the Investment Advisers Act of 1940 (the "Advisers Act"). The proposed rule changes
By Cadwalader, Wickersham & Taft LLP
A FinCEN final rule imposing strict prohibitions on the access of Iranian financial institutions to the U.S. financial system was published in the Federal Register.
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board, FDIC and OCC amended the effective date of the "Capital Simplifications Final Rule."
By Cadwalader, Wickersham & Taft LLP
NFA reminded members to designate an administrator to coordinate enrollment and track compliance with Swaps Proficiency Requirements ("SPR").
By Cadwalader, Wickersham & Taft LLP
In remarks before the SEC Fixed Income Market Structure Advisory Committee, SEC Chair Jay Clayton emphasized the increasingly important role the fixed income capital markets are playing in the economy.
By Richard Brand, Joanna Valentine, Christopher Smith
In March 2019, we reported that the UK's Financial Reporting Council ("FRC") was consulting on proposed changes to the UK's Stewardship Code (the "Stewardship Code") ...
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board, FDIC and OCC joint final rule to tailor the application of the agencies' capital and liquidity rules to large U.S. banking organizations
By Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") and FDIC final rule amending resolution planning requirements under the Dodd-Frank Act
By Cadwalader, Wickersham & Taft LLP
A Federal Reserve Board ("FRB") final rule tailoring the application of prudential standards to U.S. bank holding companies
By Cadwalader, Wickersham & Taft LLP
OFAC extended the expiration date for two Ukraine-related General Licenses. The new expiration date is March 31, 2020.
By Cadwalader, Wickersham & Taft LLP
The SEC reminded registered investment companies of requirements concerning filing monthly portfolio investment reports ("N-PORT") and annual reports ("N-CEN").
By Cadwalader, Wickersham & Taft LLP
In 2020, the protections of Regulations Z and M will apply to consumer credit transactions and consumer leases of $58,300 or less.
By Cadwalader, Wickersham & Taft LLP
NASAA Waives Firm Fees for IA Registration Depository System in 2020.
By Cadwalader, Wickersham & Taft LLP
According to the CFTC, the company promised digital currency traders "mainstream market access."
By Christian Larson
The House of Representatives passed, by a voice vote, a bill designed to reform the Bank Secrecy Act ("BSA") and anti-money laundering ("AML") laws.
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