Latest Cadwalader Podcast Episodes
Dec 16: Fast Money
Cadwalader Cabinet General Counsel - December 16, 2021 22:14 - 5 minutes ★★★ - 1 ratingSEC proposes amendments to money market fund rules. SEC proposes updates to insider trading disclosure and affirmative defense requirements. SEC proposes amendments to enhance disclosure on share repurchases. Federal Court dismisses SEC insider trading case.
Dec 15: You Can't Make Me
Cadwalader Cabinet General Counsel - December 15, 2021 20:38 - 5 minutes ★★★ - 1 ratingFDIC Chair blocks majority vote to begin review of Bank Merger Act rules. Senate Banking Committee considers testimony on stablecoin regulation and risks. SEC Commissioner Crenshaw raises concerns about measuring climate pledges. OCC adopts rule rescinding 2020 CRA rulemaking. Federal agencies d...
Dec 14: By Split Decision
Cadwalader Cabinet General Counsel - December 14, 2021 22:36 - 4 minutes ★★★ - 1 ratingSEC Commissioners Peirce and Roisman criticize Chair Gensler's regulatory agenda. Financial Services Committee Chair seeks moratorium on large bank mergers and acquisitions. SEC Commissioner Peirce advocates for longer rulemaking comment periods. SEC returns to individual written response policy...
Dec 10: By Operation of Law
Cadwalader Cabinet General Counsel - December 10, 2021 20:24 - 5 minutes ★★★ - 1 ratingHouse passes LIBOR Act. Acting Comptroller advocates reform of bank overdraft programs. IOSCO recommends setting up "Innovation Facilitators." U.S. individual settles OFAC charges for Iranian sanctions violations. FINRA prohibits use of target returns in advertising. Effective date set for SEC f...
Dec 9: Cash and Carry
Cadwalader Cabinet General Counsel - December 09, 2021 21:58 - 4 minutes ★★★ - 1 ratingSAFE Banking Act removed from Federal Defense Spending Bill. FINRA proposes fee limits on proxy distributions. House Committee considers competing regulatory approaches to cryptocurrency. Saule Omarova withdraws nomination to lead OCC. MSRB requests information on ESG practices. FINRA updates gu...
Dec 8: Letting Go of LIBOR
Cadwalader Cabinet General Counsel - December 08, 2021 20:47 - 6 minutes ★★★ - 1 ratingCFPB finalizes LIBOR transition rule. SEC issues statement on LIBOR transition - key considerations. FinCEN issues hotly anticipated beneficial ownership reporting requirements. FDIC establishes supervisory appeals office. EU-U.S. antitrust authorities launch joint technology competition policy ...
Dec 7: Paying with Clevelands and Jacksons
Cadwalader Cabinet General Counsel - December 07, 2021 20:07 - 2 minutes ★★★ - 1 ratingFinCEN seeks comment on additional AML regulations for real estate transactions. NFA adds questions on crypto and micro futures contracts to annual questionnaire. OCC reports on federal banking system risks.
Dec 6: A Fed Farewell
Cadwalader Cabinet General Counsel - December 06, 2021 22:03 - 5 minutes ★★★ - 1 ratingFRB Governor Randal Quarles offers parting thoughts. ARRC recommends replacement benchmarks for certain 1-week and 2-month USD LIBOR contracts. Treasury details efforts to combat human trafficking. Panamanian intermediary pleads guilty in money laundering conspiracy. Broker-dealer settles FINRA ...
Dec 2: Quick Like a Bunny Rabbit
Cadwalader Cabinet General Counsel - December 03, 2021 01:06 - 5 minutes ★★★ - 1 ratingSIFMA, DTCC and ICI to shorten U.S. securities settlement cycle. ISDA assesses regulatory considerations for sustainability-linked derivatives. FFIEC updates Bank Secrecy Act/AML Examination Manual. NFA reminds CPOs and CTAs to affirm registration exemptions. CFPB to increase oversight over bank...
Dec 1: It's All Good
Cadwalader Cabinet General Counsel - December 01, 2021 17:32 - 5 minutes ★★★ - 1 ratingTreasury Secretary and Fed Chair testify on post-pandemic recovery. ARRC issues addendum addressing SOFR in ABS products. Refinitiv launches cash fallbacks for LIBOR transition. CPMI and IOSCO request feedback on access to central clearing and portability. Comment deadline set for FINRA proposal...
Nov 30: Fall Back, Spring Forward
Cadwalader Cabinet General Counsel - November 30, 2021 20:54 - 4 minutes ★★★ - 1 ratingSEC staff issues guidance on "spring-loaded" compensation. NY Fed launches Central Banking Innovation Center. NFA proposes amendments to financial reporting requirements for SEC-registered SDs. OFAC extends authorization of specified transactions involving sanctioned Venezuelan entity. Firm sett...
Nov 29: What's New, What's Not
Cadwalader Cabinet General Counsel - November 29, 2021 19:21 - 3 minutes ★★★ - 1 ratingFederal Reserve issues supervision guidance on LIBOR transition. Broker-dealer settles suitability charges for ETF and options trading violations. NFA proposes amendments to branch office manager examination requirement. OFAC amends Syria sanctions regulations to authorize certain NGO activities...
Nov 24: Crypto Clarity
Cadwalader Cabinet General Counsel - November 24, 2021 20:38 - 7 minutes ★★★ - 1 ratingBanking agencies offer roadmap on crypto-asset regulation. OCC clarifies permitted bank cryptocurrency activities. ECB issues report on climate and environmental risk management. SEC staff grants Australian SBSD relief from certain reporting requirements. FINRA proposes TRACE reporting and portf...
Nov 23: The More Things Change...
Cadwalader Cabinet General Counsel - November 23, 2021 21:28 - 5 minutes ★★★ - 1 ratingPresident Biden nominates Jerome Powell to continue leading Fed, taps Lael Brainard to be Vice Chair. CFTC extends Brexit-related relief to UK entities. Council of Institutional Investors weighs-in on benchmark voting recommendations for US companies. SEC staff grants Australian SBSD relief from...
Nov 22: Records of Rebate Reports
Cadwalader Cabinet General Counsel - November 22, 2021 22:16 - 7 minutes ★★★ - 1 ratingSEC proposes to require extensive disclosures on securities loans. SEC proposes amendments to electronic recordkeeping requirements. SEC enforcement report touts volume of new actions and increase in penalties. SEC highlights spike in whistleblower tips in fiscal year 2021. SIFMA conducts financ...
Nov 19: Stabilizing Stablecoins
Cadwalader Cabinet General Counsel - November 19, 2021 22:19 - 4 minutes ★★★ - 1 ratingFRB Governor Waller supports prudential regulatory framework for stablecoins. Bank regulators adopt rule requiring prompt notification of cyber incidents. Policy-makers and key market participants share perspectives on ongoing LIBOR challenges. FinCEN highlights environmental crimes and related ...
Nov 18: Early and Often
Cadwalader Cabinet General Counsel - November 18, 2021 22:44 - 8 minutes ★★★ - 1 ratingSEC allows voting by proxy for preferred combination of board candidates in contested elections. SEC proposal to deregulate proxy voting advice. CFTC seeks comment on IBOR-related swap clearing requirement. FCA confirms rules regarding use of synthetic sterling and Yen LIBOR. Ripple advocates fo...
Nov 17: A Bank by Any Other Name
Cadwalader Cabinet General Counsel - November 17, 2021 23:01 - 5 minutes ★★★ - 1 ratingActing Comptroller wants to "modernize the bank regulatory perimeter." Ag Committee Ranking Member offers crypto market blueprint. Financial Services Committee passes bills on SPACs and mandatory arbitration. FINRA proposes expansion of TRACE reporting exemptions for trades on an ATS. Broker-dea...
Nov 16: What's the Risk?
Cadwalader Cabinet General Counsel - November 16, 2021 21:55 - 5 minutes ★★★ - 1 ratingNYDFS issues guidance for insurers on climate change-related financial risks. FINRA proposes further delay of TBA margin requirements. SEC rejects Bitcoin ETF proposal. U.S. and Israel create joint task force on fintech and cybersecurity. IOSCO proposes revisions to Commodity Derivatives Market ...
Nov 15: Money Problems
Cadwalader Cabinet General Counsel - November 15, 2021 18:22 - 3 minutes ★★★ - 1 ratingRepresentative settles FINRA charges for registration form filing deficiencies. FTC seeks comment on draft of 2022-2026 strategic plan. New York Governor signs debt collection legislation. FINRA sets financial reporting deadlines.
Nov 5: Lets Have Big Fights Over Small Things!
Cadwalader Cabinet General Counsel - November 05, 2021 21:32 - 6 minutes ★★★ - 1 ratingSEC diminishes roadblocks to proxy proposals on social policy. SEC Chair warns of enforcement "without quarter." OCC Acting Comptroller calls for regulation of crypto banking. Financial Services Subcommittee considers regulatory gaps in cybersecurity. FINRA updates FAQs on renewal program deadli...
Nov 4: Zero or Bust; or Zero and Bust
Cadwalader Cabinet General Counsel - November 04, 2021 15:33 - 2 minutes ★★★ - 1 ratingFederal financial regulators support climate objectives. CII supports House bills to address risks posed by foreign issuers in U.S. markets. FDIC establishes Minority and Community Development Banking Office. NASAA extends waiver of registration system fees for state investment adviser firms.
Nov 3: Extra! Extra! Relief All about It!
Cadwalader Cabinet General Counsel - November 03, 2021 17:42 - 7 minutes ★★★ - 1 ratingSEC Staff provides no-action relief from SBSD financial reporting requirements. SEC Commissioners emphasize importance of careful monitoring under SBSD framework. Federal agencies urge Congressional action on stablecoins. Experts testify before Senate Banking Committee on LIBOR transition. FATF ...
Nov 2: By Preparation or by Regulation
Cadwalader Cabinet General Counsel - November 02, 2021 18:20 - 4 minutes ★★★ - 1 ratingSEC Commissioner offers cybersecurity to-do list. Institutional investor organizations seek SEC rulemaking on fee reporting by private funds. SEC disapproves CAT LLC's proposed limited liability provisions. Broker-dealer settles Nasdaq charges for deficiencies in market access controls. FinCEN r...
Nov 1: The Risk Was Clear
Cadwalader Cabinet General Counsel - November 01, 2021 17:36 - 3 minutes ★★★ - 1 ratingFICC settles SEC charges for liquidity policy and margin risk management violations. Financial Services Subcommittee questions experts on China-based issuers. CFTC introducing broker settles NFA charges for records and registration violations. MSRB reviews initiatives under strategic plan. CFPB ...
Oct 29: Insecure Security
Cadwalader Cabinet General Counsel - October 29, 2021 16:58 - 3 minutes ★★★ - 1 ratingFTC adopts new requirements to strengthen financial data security. CFPB Director Chopra expresses concerns with big tech. SEC Chief Accountant emphasizes importance of auditor independence. Financial Services Committee passes Bill on financial exploitation of specified adults. NFA allows SDs to ...
Oct 28: Please Avoid These Common Mistakes
Cadwalader Cabinet General Counsel - October 28, 2021 17:38 - 3 minutes ★★★ - 1 ratingSEC issues risk alert on mutual fund and ETF compliance Deficiencies. SEC specifies financial reporting conditions for non-U.S. SBSDs. MSRB proposes extension of remote inspection relief. Effective date set for FDIC amendments to real estate lending standards. Announcing the upcoming Securities ...
Oct 27: March Margin
Cadwalader Cabinet General Counsel - October 27, 2021 19:29 - 5 minutes ★★★ - 1 ratingBCBS, CPMI & IOSCO request comment on margin practices report. FTC restores Prior Approval Policy for merger restrictions. SEC Division of Trading and Markets issues FAQs on SBS reporting. FDIC Chair advocates for "well-tailored government oversight" of stablecoins.
Oct 26: The Old Switcherooni
Cadwalader Cabinet General Counsel - October 26, 2021 18:26 - 3 minutes ★★★ - 1 ratingBroker-Dealer settles FINRA charges for supervisory failures over mutual fund switches. DOL extends enforcement relief to ensure compliance with prohibited transactions exemption. Broker-dealer settles charges with exchanges for origin code violations. FINRA sets closing date for OTCBB. Cadwalad...
Oct 25: Cloudspotting
Cadwalader Cabinet General Counsel - October 25, 2021 19:44 - 3 minutes ★★★ - 1 ratingFSOC identifies climate change as emerging threat to financial stability. CFPB asks tech companies for information on payment platforms. FDIC adopts amendments to real estate lending standards. National bank settles redlining charges.
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