Cadwalader Cabinet General Counsel
363 episodes - English - Latest episode: over 2 years ago - ★★★ - 1 ratingThe Cadwalader Cabinet General Counsel podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation each business day. To learn more, visit www.cadwalader.com/thecabinet.
Hosted by William Sadd and Cheryl Kuntz, Produced by William Sadd, and Engineered by Scott Teplin.
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Episodes
Small Words, Big Pictures, Please
August 06, 2020 16:21 - 2 minutes - 3.96 MBSEC proposes amendments to mutual fund and ETF disclosure framework. Investment advisers settle SEC charges for brokerage fee misrepresentations. NYMEX settles CFTC charges for confidential information disclosure. SEC Enforcement Co-Director Peiken leaving SEC The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet
It Takes Money to Make Money
August 05, 2020 16:25 - 2 minutes - 2.99 MBSEC Commissioners challenge Small Business Advisory Committee to improve access to capital. FFIEC encourages financial institutions to support borrowers as loan accommodations near end. SEC provides temporary process for submitting confidential information. FIA highlights pandemic response efforts. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet
Buy or Bye-Bye
August 04, 2020 15:11 - 2 minutes - 3.55 MBWith Executive Order looming, Microsoft in talks to purchase TikTok. FinCEN issues new FAQ on CDD requirements for covered financial institutions. A pharmaceutical company and former executives settle SEC charges for non-GAAP reporting failures. A broker-dealer settles FINRA charges for supervisory failures involving contingency offerings. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation...
Mukbang
August 03, 2020 16:12 - 3 minutes - 4.99 MBFINRA offers guidance on virtual business entertainment. OFAC adds Chinese entity to SDN list in connection with human rights abuses. FinCEN alerts financial institutions to red flags of pandemic-related cybercrime. FINRA proposes amendments to firm designated ID requirements. A broker-dealer settles FINRA charges for direct market access failures. House Committee members consider CFPB Semi-Annual report. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance profe...
What's Next for Investment Management
July 31, 2020 18:15 - 2 minutes - 3.83 MBSEC IM Director highlights immediate and intermediate initiatives. EC proposes capital market recovery package to support European businesses. Senate Committee members consider CFPB semi-annual report. Trade associations tout digitization of financial markets. CFTC MRAC approves recommendations for CCP discounting transition. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn mor...
ESG Lights Your Way to Do-Re-Mi
July 30, 2020 15:56 - 2 minutes - 3.81 MBNYDFS urges DOL to reconsider proposed amendment on investment recommendations. SEC creates new OCIE "Event and Emerging Risks Examination Team." A broker-dealer settles FINRA charges for failure to detect suspicious activity and file SARs. Congress asks FHFA director to pause enterprise regulatory capital rulemaking. FINRA proposes extension of temporary relief for staff from procedural requirements. FINRA extends effective date for amendments to TRACE reporting requirements The Cadwalade...
Remote Control
July 29, 2020 15:46 - 2 minutes - 3.84 MBSIFMA asks FINRA to allow remote branch office inspections. SEC staff says firms are complying with Form CRS requirements. A broker-dealer settles FINRA charges for failure to follow AML procedures. DOJ charges PPP loan applicant with fraud. SEC charges adviser for failure to disclose conflicts of interest. A manufacturer settles OFAC charges for violating Iranian transactions and sanctions regulations. ISDA begins publishing monthly data on usage of risk-free rates. The Fed extends expirati...
Tell Me All About Myself
July 28, 2020 16:13 - 1 minute - 2.28 MBCFPB to propose rule on consumer-authorized access to financial data. A broker-dealer settles FINRA charges for private placement conduct failures. SEC staff permits Indian company to shorten tender offer period. Another broker-dealer fined for over-tendering shares into partial tender offer. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet
Order Out of Chaos
July 27, 2020 15:59 - 2 minutes - 2.83 MBAgencies finalize orderly liquidation rule for covered broker-dealers. GAO reviews resolution planning requirements and the role of the OLA. NY Fed expands eligibility to service emergency lending facilities. DOJ files complaint for forfeiture of funds used in North Korean money laundering scheme. DOJ charges tech executive with PPP fraud and money laundering. A broker-dealer settles FINRA charges for OATS reporting failures. The Cadwalader Cabinet General Counsel daily podcast gives legal...
Crossed, Swapped and Amended
July 24, 2020 16:02 - 3 minutes - 5.18 MBCFTC adopts new cross-border swaps rules. OCC allows national banks to provide digital asset custody services. Industry groups offer recommendations on SEC valuation proposal. ARRC identifies recommended conventions for SOFR "in arrears" rates. GAO reviews resolution planning requirements and the OLA. FINRA fines broker-dealer for OATS and NMS reporting failures. FINRA fines another broker-dealer for supervisory and suitability violations The Cadwalader Cabinet General Counsel daily podcas...
$wap$
July 23, 2020 15:06 - 3 minutes - 4.26 MBCFTC adopts swap capital requirements. SEC finalizes rule amendments governing proxy advisors. CFTC MRAC considers updates on SOFR and recent market performance. NASAA examines issues concerning financial professionals with diminished capacity. A broker-dealer settles FINRA charges for best execution failures. Another broker-dealer settles FINRA charges for over-tender of shares violations. NY title insurance company charged with exposing customer information. The Cadwalader Cabinet Genera...
Where is the Yellow Brick Road?
July 22, 2020 15:54 - 3 minutes - 4.2 MBSEC Commissioner Peirce criticizes enforcement action against ICO issuer. President Trump authorizes sanctions on persons involved in Hong Kong human rights abuses. CFTC TAC Advisory Committee considers presentations on cybersecurity, automated trading and virtual currencies. A broker-dealer settles SEC charges for violating retail order restrictions. FINRA amends arbitration code to apply minimum fees to customer dispute expungement requests. NFA extends relief on registration fingerprint r...
What is Truth?
July 21, 2020 15:14 - 1 minute - 2.64 MBOCC proposes rule to determine the "true lender" of a loan. FDIC requests input on standard-setting and voluntary-certification models. SEC officials consider diversity and technology issues in asset management industry. A market maker settles FINRA charges for OTC desk automated control failures. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet
Enforcement in the Time of Coronavirus
July 20, 2020 16:36 - 2 minutes - 3.21 MBAn UAE manufacturer settles charges for violating North Korean sanctions regulations. The FED extends PPP exception for loans to bank insiders. FINRA requests comments on additional TRACE reporting requirements. CEPS-ECMI researchers consider role of derivatives in sustainable finance. CFTC DSIO extends no-action relief on registration fingerprint requirement. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in...
Considering Mortgage CARES
July 17, 2020 19:28 - 2 minutes - 4.16 MBThe House Financial Services Committee considers CARES Act implementation issues. SEC urges investors to be cautious of broadly advertised investment opportunities. NASAA to accept electronic mutual fund notice filings. SEC staff monitoring group considers COVID-19 market impact. SEC awards $3.8 million to whistleblower. OFAC postpones effective date of Venezuela general license. OFAC extends the expiration date of Ukraine-related general licenses. The Cadwalader Cabinet General Counsel da...
Hardly Missed a Beat
July 16, 2020 15:56 - 2 minutes - 3.56 MBSEC Chair Jay Clayton says securities markets functioning well despite volatility. Industry groups comment on CFTC-proposed revamp of bankruptcy rules. FATF updates AML/CFT deficiencies list. FINRA proposes increase to position and exercise limits for conventional options. A broker-dealer fined for failure to maintain requirements on "continuous two-sided trading interest." The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging d...
Big Problems Come in Small Packages
July 15, 2020 16:50 - 2 minutes - 2.86 MBAn FSB report looks at remaining LIBOR transition challenges. OCIE warns of heightened ransomware risks. A broker-dealer settles FINRA charges for failure to demonstrate exemption eligibility for quotations in OTC equity securities. CFPB amends payday, vehicle title and high-cost installment loan regulations. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabi...
Do Bad Boys Make Bad Law?
July 14, 2020 15:24 - 2 minutes - 3.42 MBA California app developer settles SEC and CFTC charges for improper sales of derivatives. SEC proposes increasing reporting threshold requirements for institutional investment managers. CFTC deems CPO registration exemptions "ineffective." Cboe exchanges sanction general securities principals for direct market access violations. BIS finalizes adjustments to Basel III CVA Framework. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of e...
Mixed Review
July 13, 2020 16:37 - 2 minutes - 2.93 MBCFTC Commissioner Stump considers post-Dodd-Frank regulatory framework. A broker-dealer settles FINRA charges for violations of research rules. FTC Bureau of Competition begins publishing monthly totals of HSR Act filings. U.S. District Court rejects preemption defense on escrow account interest payments. DOJ charges Florida company with Medicare and PPP Fraud. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments i...
Audit in Translation
July 10, 2020 14:30 - 3 minutes - 4.21 MBSEC Officials focus on investor risk in emerging markets. Amazon settles OFAC sanctions violations. FINRA encourages firms to report digital assets-related activities. ARRC provides "systems and processes" transition aid for SOFR adoption. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
Invest Nicely
July 09, 2020 16:16 - 2 minutes - 3.18 MBSEC Commissioner Roisman shares "serious reservations" about mandating ESG disclosures. The Federal Reserve Board Vice Chair considers financial stability in the face of COVID-19. New York Fed Vice President Considers impact of Federal Reserve Board’s emergency lending facilities. CFTC lays out strategic priorities through 2024. A bank settles NYDFS charges for compliance failures in high profile case. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professi...
Legal, Valid and Binding
July 08, 2020 14:38 - 3 minutes - 4.37 MBCFPB ratifies prior regulations. GAO surveys institutional investors on ESG disclosures. UK FCA grants first multilateral trading facility license to cryptocurrency exchange. SEC adopts final rule expediting routine requests for exemptive relief. Bank of England to publish SONIA compounded index. FinCEN alerts financial institutions to pandemic-related fraud. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in ...
Tone Down the Hype
July 07, 2020 15:48 - 3 minutes - 4.47 MBFINRA provides guidance on marketing private placements to retail investors. FINRA updates margin rule interpretations. The CFPB proposes exemption from establishing escrow accounts for certain mortgage loans. The Small Business Administration and Treasury release PPP loan data. SIFMA commends bipartisan introduction of "LOCAL Infrastructure Act" to support municipal refinancing. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emer...
Visit Us at ThoughtLeadership.Com
July 06, 2020 16:15 - 4 minutes - 5.85 MBThe Supreme Court holds that a "generic.com" name may function as a protectable trademark. DOJ charges doctor for fraudulently seeking millions in PPP loans. The Department of Justice seeks seizure of Iranian gasoil headed to Venezuela. NASAA requests input on proposal to create funds for victims of securities law violations. A biopharmaceutical company settles SEC charges for FCPA violations. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a r...
Squashed
July 02, 2020 19:27 - 3 minutes - 4.18 MBThe second circuit denies challenge to Reg. BI. DOL proposes new exemption for investment advice fiduciaries. FSB urges continuing efforts on LIBOR transition. A broker-dealer fined for failing to retain emails. OCC highlights risks to federal banking system. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
Don't Leave Home Without It
July 01, 2020 18:32 - 2 minutes - 3.59 MBThe Senate Banking Committee considers development of U.S. central bank digital currency. SEC Office of Investor Advocate publishes 2021 priorities. The Supreme Court declines to hear challenge to CFTC authority. SEC expands small broker-dealer exemption from risk assessment reporting. FINRA to adopt rule limiting associated persons acting for customer trusts. NYDFS reminds banking institutions of additional CRA obligations. FCM settles CFTC charges for supervisory failures. FINRA highlights...
Supreme Court Rules on CFPB
June 30, 2020 18:13 - 4 minutes - 5.61 MBSupreme court finds CFPB structure unconstitutional. Trade associations recommend reforms to EU benchmarks regulation. SEC officials provide updates on pandemic relief. The Fed reports 2020 supervisory stress test results. CPMI-IOSCO recommends CCP default management auction practices. MSRB updates FAQs on COVID-19 regulatory relief. MSRB modifies rules to align with Regulation Best Interest. FINRA proposes amendments to CAT reporting requirements. A digital token issuer settles SEC charges ...
Volcker Redux Redux
June 29, 2020 18:49 - 5 minutes - 8.03 MBCFTC proposes electronic trading principles and withdraws proposed Reg AT. CFTC prohibits "post-trade name give-up." SEC charges issuer, CEO, and lobbyist for cryptocurrency fraud. CFTC adopts amendment to inter-affiliate clearing rule. The Trump Administration will provide additional PPP loan data to Congress. CFTC proposes delay of "phase six" initial margin requirements. NYDFS launches a series of virtual currency initiatives to ease market entry. A broker-dealer settles FINRA charges for...
Handbags at Ten Paces
June 26, 2020 20:19 - 3 minutes - 4.87 MBSEC and DOJ sign MOU to enhance competition in securities industry. Prudential regulators adopt swap margin amendments. European presidency and parliament reach agreement on CCP recovery and resolution plans. FASB issues Q&A on application of GAAP taxonomy for disclosures. Agencies adopt amendments to Volcker Rule's "covered funds" provisions, and much more. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in f...
Rocky Mountain (Not That) High
June 25, 2020 22:41 - 2 minutes - 3.17 MBDOJ charges Texas business owner for filing fraudulent PPP applications. OCIE highlights compliance deficiencies of investment advisers managing private funds. Banking regulators provide guidance to examiners on Covid-19 risk management assessments. SEC Chief Accountant urges high-quality financial reporting during the pandemic. CFTC amends NFA individual application registration form. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown ...
Will You Miss Me When I’m Not Gone?
June 24, 2020 18:21 - 2 minutes - 3.01 MBUK to propose legislation on LIBOR "tough legacy" contracts. SEC Division of Corporation Finance issues additional disclosure guidance on COVID-19. SEC officials provide update on equity market structure modernization. SEC extends relief to funds and advisers from in-person board meeting obligations. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
Bad Borrower
June 23, 2020 21:27 - 3 minutes - 4.26 MBDOJ charges CEO for submitting false information in Paycheck Protection Program loan applications. Supreme Court rules ill-gotten gains are always at risk. Survey shows progress on LIBOR transition despite Covid-19 challenges. President Trump to nominate SEC Chair Clayton as U.S. Attorney for SDNY. FINRA seeks temporary deadlines extension, and OFAC authorizes wind down of transactions with certain Venezuelan entities. The Cadwalader Cabinet General Counsel daily podcast gives legal and co...
Talking the Talk or Walking the Walk
June 22, 2020 20:06 - 2 minutes - 2.91 MBSEC officials debate approaches to small business capital formation. The Fed publishes uniform fraud classification model for the payments industry. FINRA aligns suitability and compensation rules with SEC Regulation Best Interest. The Consumer Financial Protection Bureau establish a pilot advisory opinion program to address regulatory ambiguity. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial reg...
Curve Ahead
June 19, 2020 17:34 - 2 minutes - 2.9 MBSEC OCIE provides detail on LIBOR-related examinations. A swap dealer settles CFTC reporting. An insurance company settles SEC charges for unsupported loss estimates. A broker-dealer settles FINRA charges for net capital maintenance failures. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
And That's the Honest Truth
June 18, 2020 16:44 - 3 minutes - 5.08 MBSEC commissioners address municipal securities disclosure practices. ARRC requests relief relating to CCP discounting transition. Amended AML compliance guidance for FCMs and IBs now effective. SEC grants broker-dealer registration exemption to muni advisors. A broker-dealer settles FINRA charges for late TRACE reporting. SEC names new enforcement division associate director. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging...
Trial is an Error
June 17, 2020 16:31 - 2 minutes - 3.03 MBD.C. Circuit vacates SEC pilot program for NMS stocks. House financial services committee considers proposed legislation on cybersecurity. SEC Chair Jay Clayton confirms Regulation Best Interest implementation date. FINRA issues June disciplinary report. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
GIGO
June 16, 2020 15:25 - 1 minute - 2.54 MBNFA and AIMA react to CFTC data collection proposal. A broker-dealer settles FINRA charges for Reg SHO violations. NFA extends recordkeeping compliance relief for members. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
If It's Good Enough for You, It's (Probably) Good Enough for Me
June 15, 2020 15:45 - 1 minute - 2.58 MBEC proposes amendments to EMIR on third-country CCPs. SEC grants relief to CAT participants from certain reporting requirements. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
USA v ICC
June 12, 2020 15:22 - 2 minutes - 2.95 MBPresident Trump authorizes sanctions against the International Criminal Court. MSRB answers more questions on COVID-19 regulatory relief. Firm settles FINRA charges for failing to supervise suitability recommendations on UITs. CFTC awards whistleblower approximately $6 million. FINRA proposes extended relief for staff. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visi...
You Can Keep Your Home Office
June 11, 2020 15:52 - 2 minutes - 2.98 MBCFTC extends COVID-19-related no-action relief. SEC charges trader for COVID-19 "pump and dump" scheme. CFTC Chair Heath Tarbert elected IOSCO board vice-chair. DOJ’s Head of the Criminal Division to step down. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
Spaces Would Just Slow NYDFS Down
June 10, 2020 16:30 - 2 minutes - 3.07 MBNYDFS encourages financial services innovation with FastForward program. HUD and FHFA leaders describe initiatives in response to COVID-19. Forex dealer settles CFTC charges for registration and supervisory violations. FRB expands main street lending program to support small- and medium-sized businesses. President Trump orders federal agencies to facilitate economic recovery. NY Fed updates TALF eligibility FAQs. The Cadwalader Cabinet General Counsel daily podcast gives legal and complian...
Bad Books
June 09, 2020 17:31 - 2 minutes - 2.98 MBPresident Trump directs working group to address Chinese compliance with US audit standards. DC Circuit Court limits SEC authority in exchange fee dispute. SIFMA urges SEC to protect Personally Identifiable Information on the CAT. MSRB proposes amendments to board selection process. Clearing firm settles FINRA charges for capital, custody and recordkeeping violations. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging develop...
Living Large
June 08, 2020 13:58 - 1 minute - 2.39 MBInsurance underwriter settles SEC charges for understating CEO pay in proxy statements. CFPB proposes amendments to "Truth in Lending" regulations concerning discontinuation of LIBOR. OFAC issues new FAQ on certain Iranian sanctions. FINRA and securities exchanges participating in CAT submit amended exemption requests. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a rundown of emerging developments in financial regulation. To learn more, visi...
Bad Boys Get No Breaks
June 05, 2020 15:58 - 2 minutes - 2.98 MBCFTC disallows CPO exemptions for persons subject to statutory disqualifications. DOJ files asset forfeiture complaint in money laundering case. SEC sues "internet investment adviser" for exam and registration violations. SEC awards $50 million in whistleblower case. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
Self-Control
June 04, 2020 16:39 - 2 minutes - 3.98 MBDOJ updates guidance to prosecutors on corporate compliance programs. SEC Commissioners weigh-in on fixed income market concerns. CFTC MRAC considers CCP benchmark transition. FRB expands the number and type of entities eligible for the MLF. NFA reminds RFEDs/FDMs and IBs of capital requirements. Banking agencies update "host state loan-to-deposit ratios" for 2020. FINRA proposes extension of CDS margin pilot program. The Cadwalader Cabinet General Counsel daily podcast gives legal and com...
It's Like Being Born With a Silver Spoon
June 03, 2020 15:37 - 1 minute - 2 MBOCC affirms permissibility of continuing interest rate on assigned loans. NFA incorporates recent rule amendments into self-examination questionnaire. FINRA fines broker-dealer for falsely advertising trading volumes.' The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments in financial regulation. To learn more, visit The Cabinet.
DIY Investments
June 02, 2020 18:12 - 2 minutes - 2.9 MBSDNY holds syndicated loan is not a "security." Fannie Mae and Freddie Mac publish LIBOR Transition Playbook. NFA proposes amendments to AML interpretive notice. NFA proposes updates to guidance on required disclosures for security futures contracts. MSRB temporarily waives assessment fees relating to Municipal Liquidity Facility. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments in financial regulation...
Reading for Meaning
June 01, 2020 17:09 - 3 minutes - 4.69 MBSEC staff withdraws prior guidance on control share acquisition statutes. FINRA reviews supervisory practices over remote working environments. CFTC enforcement director urges firms to heed recent guidance on civil money penalties. IOSCO requests comments on updated outsourcing guidelines. IOSCO encourages issuers to provide "high quality" disclosures concerning the impact of COVID-19. Blockchain firm penalized for distribution of an unregistered initial coin offering. The Cadwalader Cabin...
Not My Jurisdiction
May 29, 2020 16:52 - 3 minutes - 4.97 MBCFTC proposes amending CPO exemption to facilitate cross-border activity. SEC staff provides TALF-related relief to investment companies. CFTC delays initial margin "Phase Five" requirements for uncleared derivatives. Broker-dealer fined for supervisory violations in connection with UIT transactions. USPTO offers relief from certain patent and trademark deadlines and fees. DOL adopts electronic disclosure safe harbor for employee benefit plans. SEC officials highlight efforts to address cur...
Document Your Dispensation
May 28, 2020 14:22 - 1 minute - 2.69 MBFINRA tells firms to document reliance on COVID-19 relief. ARRC recommends best practices for LIBOR cessation. Private equity firm settles charges for failures in handling material non-public information. NASAA proposes model whistleblower award and protection act. NYSE reopens trading floor. SEC extends regulatory relief for registered transfer agents. The Cadwalader Cabinet General Counsel daily podcast gives legal and compliance professionals a 3-minute rundown of emerging developments ...