Podcast
Cadwalader Cabinet General Counsel
Hosted by Cadwalader Cabinet · EN
The 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.
11episodes
Episodes
Newest firstAll episodes
Dec 16: Fast Money
Dec 16, 202100:05:01Tap to summarizeSEC 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.
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Dec 15: You Can't Make Me
Dec 15, 202100:05:00Tap to summarizeFDIC 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 decide not to amend provisions of credit risk retention regulations. President Biden to nominate Sandra Thompson as FHFA Director.
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Dec 14: By Split Decision
Dec 14, 202100:04:38Tap to summarizeSEC 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 for proxy requests. FINRA settles cases stemming from targeted exams on UIT early rollovers. Firms settle FINRA charges for supervisory violations on UIT rollovers.
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Dec 10: By Operation of Law
Dec 10, 202100:05:48Tap to summarizeHouse 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 final rule implementing "Holding Foreign Companies Accountable Act" requirements. Effective date set for SEC final rule on filing fee disclosure and payment methods. Effective date set for new FTC financial data security requirements. Comment deadline set for FTC-proposed security breach reporting requirement.
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Dec 9: Cash and Carry
Dec 9, 202100:04:55Tap to summarizeSAFE 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 guidance on new electronic fingerprint submission process. Comment deadline set for FinCEN ANPR on new AML requirements for real estate transactions. Comment deadline set for SEC proposal to require extensive disclosures on securities loans.
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Dec 8: Letting Go of LIBOR
Dec 8, 202100:06:03Tap to summarizeCFPB 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 dialogue. MSRB extends comment deadline on draft compliance resources for new issue pricing. CFPB reopens comment period for inquiry into big tech payment platforms. Comment deadline set for FINRA-proposed TRACE reporting and portfolio trade rule amendments. Cadwalader Clients & Friends Memo: Securities Litigation Update: Second Circuit Opines on Pleading Standards and Statutory Standing for Claims Under Section 10(b) of the Securities Exchange Act of 1934. Cadwalader Clients & Friends Memo: "Sustainable" Companies Face Increased Pressure to Justify the Sustainability Label Amid Investor Challenges and Demands for Greater Risk Assessment and Disclosure.
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Dec 7: Paying with Clevelands and Jacksons
Dec 7, 202100:02:41Tap to summarizeFinCEN 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.
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Dec 6: A Fed Farewell
Dec 6, 202100:05:26Tap to summarizeFRB 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 charges for Form U4 disclosure failures. SEC names Office of Municipal Securities Acting Director.
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Dec 2: Quick Like a Bunny Rabbit
Dec 3, 202100:05:13Tap to summarizeSIFMA, 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 overdraft fees. Effective date set for amended universal proxy rule. Comment deadline set for SEC-proposed changes to electronic recordkeeping requirements. SEC staff guidance on "spring-loaded" compensation now effective.
Transcribe →Dec 1: It's All Good
Dec 1, 202100:05:17Tap to summarizeTreasury 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 to expand TRACE reporting exemptions.
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