United States: Underwriter Settles SEC Charges For Failing To Disclose Conflicts - Cadwalader, Wickersham & Taft LLP

Mondaq

31 Aug 2021 0 shares 1 views

Mondaq

Published 31 Aug 2021

An Arkansas-based broker-dealer and its former CEO settled SEC charges for fair dealing violations arising from a municipal bond tender offer.

United States: SEC Proposes SBS Substituted Compliance For Spain - Cadwalader, Wickersham & Taft LLP

The SEC published a proposed substituted compliance determination for security-based swap dealers regulated in Spain.

Mondaq 31 Aug 2021

A London-based bank settled potential civil liability with OFAC for alleged violations of the now-rescinded sanctions program that..

Mondaq 31 Aug 2021