Mondaq USA: Finance and Banking > Securitization & Structured Finance
Cadwalader, Wickersham & Taft LLP
Two affiliated broker-dealers agreed to settle SEC charges for allegedly misleading institutional customers regarding the operation of a dark pool.
Mayer Brown
Elder financial exploitation has been recognized by many state and national agencies as a concern as the population ages and elders shoulder more responsibility for managing their retirement assets under defined contribution plans.
Cadwalader, Wickersham & Taft LLP
Elad L. Roisman was sworn in as SEC Commissioner. Mr. Roisman was confirmed by the U.S. Senate on September 5, 2018.
Cadwalader, Wickersham & Taft LLP
A Connecticut-based multinational corporation agreed to pay $13.9 million to settle SEC charges for violating the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act.
Cadwalader, Wickersham & Taft LLP
The SEC charged a hedge funder adviser, his investment advisory firm and a Delaware-based company in a scheme to manipulate a stock price.
Cadwalader, Wickersham & Taft LLP
Several Democratic members of Congress called upon SEC Chair Jay Clayton to amend proposed Regulation Best Interest to require a uniform fiduciary standard for all broker-dealers and investment advisers.
Hughes Hubbard & Reed LLP
Christopher Kiplok, counsel to the trustee in the liquidation of Lehman Brothers, was interviewed by NPR's Marketplace regarding the 10th anniversary of the collapse of Lehman Brothers.
Mayer Brown
The September 7, 2018 Golub Capital BDC no-action letter (Golub letter) issued by the Division of Investment Management (IM) of the US Securities and Exchange Commission (SEC)
Shearman & Sterling LLP
On August 28, 2018, the U.S. Board of Governors of the Federal Reserve System issued an interim final rule increasing the asset threshold for the applicability of the Federal Reserve Board's...
Cadwalader, Wickersham & Taft LLP
The U.S. Senate confirmed the nomination of Elad L. Roisman to be a Commissioner of the SEC. Mr. Roisman, who was nominated by President Donald J. Trump, serves as Chief Counsel to the Senate Banking Committee.
Mayer Brown
The recent rollback of Obama-era fair lending enforcement does not mean that fair lending risk has disappeared.
Cadwalader, Wickersham & Taft LLP
Appropriate documentation standards" to promote consistent application of the policy's aforementioned criteria.
Cadwalader, Wickersham & Taft LLP
The Structured Finance Industry Group ("SFIG") submitted comments to the Internal Revenue Service ("IRS") regarding the application of section 1446(f) of the Internal Revenue Code to middle-market collateralized loan obligations ("MM CLOs") and other securitizations.
Cadwalader, Wickersham & Taft LLP
U.S.-based investment management firm Legg Mason Inc. ("Legg Mason") agreed to disgorge over $34 million in profits and prejudgment interest to settle SEC charges that it violated the Foreign Corrupt Practices Act ("FCPA").
Cadwalader, Wickersham & Taft LLP
The SEC charged a cannabis investment fund and its founder with securities fraud for allegedly using misleading marketing materials and deceptive sales pitches to lure investors.
Hunton Andrews Kurth LLP
The final amendments become effective 30 days after publication in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The SEC and the DOJ charged a professional football player and a former analyst at an investment bank with fraud and insider trading.
Cadwalader, Wickersham & Taft LLP
SEC Division of Trading and Markets (the "Division") Director Brett Redfearn issued an update on implementation of the Consolidated Audit Trail ("CAT").
Cadwalader, Wickersham & Taft LLP
Four investment advisers and several related individuals settled SEC charges for allegedly advertising the use of quantitative investment models while failing to notify their Boards of Trustees and investors that certain models were inoperable and/or not in use.
Cooley LLP
The Senate has confirmed the appointment of Elad Roisman as SEC Commissioner, replacing Republican Commissioner Michael Piwowar.
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Cooley LLP
The Senate has confirmed the appointment of Elad Roisman as SEC Commissioner, replacing Republican Commissioner Michael Piwowar.
Cooley LLP
The proposals, however, faced an onslaught of criticism from commenters.
Arnold & Porter
Since 2016, a number of companies and indi­viduals have sought to raise capital for business enterprises by conducting Initial Coin Offerings ("ICOs").
Cadwalader, Wickersham & Taft LLP
On 22 August 2018, the European Securities and Markets Authority ("ESMA") published its Final Report on the technical standards on disclosure requirements under the EU Securitisation Regulation ...
Cadwalader, Wickersham & Taft LLP
The SEC charged a cannabis investment fund and its founder with securities fraud for allegedly using misleading marketing materials and deceptive sales pitches to lure investors.
Cadwalader, Wickersham & Taft LLP
A Connecticut-based multinational corporation agreed to pay $13.9 million to settle SEC charges for violating the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act.
Mayer Brown
Elder financial exploitation has been recognized by many state and national agencies as a concern as the population ages and elders shoulder more responsibility for managing their retirement assets under defined contribution plans.
Cadwalader, Wickersham & Taft LLP
The SEC and the DOJ charged a professional football player and a former analyst at an investment bank with fraud and insider trading.
Foley Hoag LLP
Smaller reporting companies enjoy more extensive relief in their annual reports on Form 10-K and annual proxy statements.
Milbank, Tweed, Hadley & McCloy LLP
A three-judge panel of the U.S. Court of Appeals for the D.C. Circuit issued a unanimous decision1 holding that the final rules implementing the requirements of Section 941 of the Dodd-FrankWall Street Reform and...
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