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Cadwalader, Wickersham & Taft LLP
The European Central Bank approved a new oversight framework for electronic payment instruments, including payments with digital assets.
United States
Riker Danzig Scherer Hyland & Perretti
The United States District Court for the District of Hawaii recently dismissed claims against defendants HomeStreet Bank and Penny Mac in a case that accused them of violations of the Truth In Lending Act ("TILA")
Cadwalader, Wickersham & Taft LLP
A firm settled NYSE American charges for engaging in anticipatory hedging after acquiring undisclosed information regarding an imminent option transaction...
Cadwalader, Wickersham & Taft LLP
NFA proposed amendments to its financial reporting requirements for swap dealers ("SDs") that are also subject to SEC financial reporting requirements.
Akin Gump Strauss Hauer & Feld LLP
Any doubts over whether the U.S. Securities and Exchange Commission considers advisory fees to be a focus area for 2022 were dispelled over the past several weeks.
Jones Day
The interagency "policy sprints" are designed to give banks guidance on how to navigate crypto-assets moving forward.
Teague Campbell Dennis & Gorham
Investment advisor and financial advisor. While many investors use the terms interchangeably, they are very different. For both the Securities Exchange Commission (SEC)...
Manatt, Phelps & Phillips LLP
Viewed from a range of different measures, low-income residents of Mississippi are particularly disadvantaged with respect to access to health care, quality of care received, costs of care, health outcomes ...
Arnold & Porter
Congress is making another run at providing a safe harbor to the banking industry and companies that provide services to cannabis businesses. On September 21, 2021, the House voted to include...
Cadwalader, Wickersham & Taft LLP
Federal Reserve issues supervision guidance on LIBOR transition.
Lewis Rice
Federal bank regulatory agencies recently announced the approval of a final rule to improve the sharing of information about cyber incidents that may affect the U.S. banking system (the "Final Rule").
Cadwalader, Wickersham & Taft LLP
NFA filed with the CFTC proposed amendments to NFA Compliance Rule 2-7.
Cadwalader, Wickersham & Taft LLP
FINRA charged the broker-dealer with failing to develop appropriate oversight procedures for sales of non-traditional exchange trade products.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve issued "Supervision FAQs on the Transition away from LIBOR."
Cadwalader, Wickersham & Taft LLP
A broker-dealer and its principal settled FINRA charges for negligent misrepresentations, omissions and supervisory failures concerning the offering of promissory notes issued by its parent company.
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to immediately display customer limit orders and for related supervisory violations.
Cadwalader, Wickersham & Taft LLP
The CFTC published in the Federal Register a request for information and comment on potential modifications to CFTC Rule 50.4 to address benchmark reform.
Bryan Cave Leighton Paisner LLP
Today (25 November 2021) the European Commission (the Commission) released the results of its evaluation of the Alternative Investment Fund Managers Directive (AIFMD)...
Winstead PC
In Hotze v. In Mgmt., LLC, family members sued each other over control of a family business. No. 14-18-00995-CV, 2021 Tex. App. LEXIS 5821 (Tex. App.—Houston [14th Dist.] July 22, 2021, no pet. history).
Ropes & Gray LLP
Ropes & Gray's credit funds team offers forward-thinking advice on all aspects of our credit manager clients' businesses, including fund formation, investments and compliance and regulatory issues.
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