United States: Firm Settles CFTC Swap Data Reporting Charges - Cadwalader, Wickersham & Taft LLP
Published
Three affiliated swap dealers ("SDs") settled CFTC charges for improper reporting of swap valuations.
Full ArticlePublished
Three affiliated swap dealers ("SDs") settled CFTC charges for improper reporting of swap valuations.
Full ArticleA firm providing execution and routing services to broker-dealers settled FINRA and NYSE Arca charges for failing to establish,..
A firm and its former CEO settled SEC charges for accounting, reporting and internal control failures that resulted in a multi-year..