United States: Bank Settles DOJ And SEC Charges For FCPA Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

13 Jan 2021 0 shares 1 views

Mondaq

Published 13 Jan 2021

In separate charges, the DOJ alleged that the bank engaged in illegal spoofing in violation of the Commodity Exchange Act.

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United States: Firm Settles FINRA Charges For Supervision And Employee Screening Failures - Cadwalader, Wickersham & Taft LLP

Mondaq 28 Jan 2021

A firm settled FINRA charges for failing to fingerprint and adequately screen U.S.-based non-registered associated persons.

Mondaq 14 Jan 2021

A firm settled FINRA charges for supervisory failures over variable annuity ("VA") contracts.