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Searching Content indexed under Financial Services by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Broker-Dealer Settles FINRA Charges For Short Positions In Municipal Securities Failures
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
United States
14 Oct 2019
2
Interdealer Brokers Settle CFTC And NYAG Charges For Fraudulent FX Options
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
United States
14 Oct 2019
3
FRB Vice Chair Randal Quarles Reviews FSB Activity
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
United States
14 Oct 2019
4
OCC Lists Bank Supervision Priorities For FY 2020
In its annual Bank Supervision Operating Plan, the Office of the Comptroller of the Currency ("OCC") listed several key areas of focus for FY 2020.
United States
14 Oct 2019
5
CFTC Commissioners Consider Regulatory Compliance Issues And Technology Solutions
At the CFTC Technology Advisory Committee ("TAC") meeting, CFTC Commissioner and Committee Chair Brian Quintenz
United States
14 Oct 2019
6
FCM Settles CFTC Charges For Engaging In Prohibited Wash Transactions
A registered futures commission merchant ("FCM") settled CFTC charges for engaging in prohibited noncompetitive, fictitious wash sales.
United States
11 Oct 2019
7
FDIC Chair Jelena McWilliams Encourages Greater Collaboration Between Community Banks And FinTechs
FDIC Chair Jelena McWilliams encouraged greater collaboration between community banks and FinTech firms (or "FinTechs").
United States
11 Oct 2019
8
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
9
Voice Broker Settles CFTC Charges For Misappropriating Confidential Customer Information
A voice broker settled CFTC charges for (i) mishandling confidential customer information, (ii) failing to retain audio recordings of block trades and (iii) failing to supervise.
United States
11 Oct 2019
10
Representatives Propose Bill Designed To Increase Financial Transparency
U.S. Representatives Carolyn B. Maloney (D-NY) and Patrick McHenry (R-NC) introduced a bill that would require all eight U.S.
United States
11 Oct 2019
11
Swap Dealers Settle Charges For Reporting And Other Failures
The CFTC settled enforcement cases against six swap dealers that all involved reporting failures. In addition to the reporting failures
United States
11 Oct 2019
12
Treasury And FHFA Agree To Modify Fannie Mae And Freddie Mac Preferred Stock Purchase Agreements
The Treasury Department and the Federal Housing Finance Agency ("FHFA") agreed to modifications to the Preferred Stock Purchase Agreements ("PSPAs") ...
United States
10 Oct 2019
13
Global Agribusinesses Settle CFTC Charges For Reporting Violations
A Luxembourg-based global agribusiness and a Minnesota-based global agribusiness settled CFTC charges separately (see here and here)...
Worldwide
10 Oct 2019
14
ISDA CEO Calls For Changes To Current CVA Capital Rules
ISDA CEO Scott O'Malia called for specific changes to the current credit valuation adjustment ("CVA") capital framework, criticizing the requirements for not being appropriate or risk-sensitive.
United States
10 Oct 2019
15
Firm And Founder Settle CFTC Charges For Spoofing
A proprietary trading firm and its founder settled CFTC charges (see here and here) for engaging in spoofing.
United States
10 Oct 2019
16
FINRA Amends Investment Fund Research Rules To Conform To FAIR Act
FINRA adopted rule amendments that eliminate certain requirements applicable to research reports on "covered investment funds," in accordance with the Fair Access to Investment Research Act of 2017 ("FAIR Act").
United States
10 Oct 2019
17
CFTC And DOJ File Charges Against Principal For False Statements Concerning Bitcoin
The CFTC and the DOJ charged (see here and here) the principal of a cryptocurrency escrow company for making false statements to two customers
United States
10 Oct 2019
18
CFTC Awards Whistleblower Approximately $7 Million
The CFTC awarded approximately $7 million to an individual whistleblower for information that led to a CFTC investigation
United States
10 Oct 2019
19
Using Irish Treaty Funds To Avoid US Taxes In Direct Lending
Private debt funds raised more than $100 billion for the fourth consecutive year in 2018,[1] and reached their highest level of fundraising on record during the first half of 2019.[2]
United States
10 Oct 2019
20
FINRA Proposes Extending Pilot For Market-Wide Circuit Breakers In NMS Stocks
FINRA proposed extending a pilot program under FINRA Rule 6121.02 ("Market-Wide Circuit Breakers in NMS Stocks") until October 18, 2020.
United States
9 Oct 2019
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