The FDIC and the Board of Governors of the Federal Reserve System determined that a number of systemically important domestic banking institutions have remedied the deficiencies in their 2015 resolution plans.

The Board of Governors of the Federal Reserve System and the FDIC (collectively, the "Agencies") released the public sections of required "targeted submissions" for eight systemically important domestic banking institutions.

The Basel Committee on Banking Supervision conducted a monitoring exercise that determined all large internationally active banks meet Basel III minimum and Common Equity Tier 1 target capital requirements.

The Basel Committee on Banking Supervision ("BCBS") updated Basel III Net Stable Funding Ratio framework interpretation FAQs.

Bespoke Solutions, D&I and More, with Dadong Yan.

A broker-dealer agreed to settle FINRA charges for failing to identify and apply available sales charge waivers on sales of variable annuities to eligible retirement accounts and charitable organizations.

A broker-dealer agreed to settle FINRA charges for failing to maintain a sufficient system of risk management controls ...

A broker-dealer agreed to pay $50,000 to settle FINRA charges that it failed to "establish, document, and maintain" a system of adequate risk management controls and supervisory...

A broker-dealer settled FINRA charges for the firm's failure to fulfill its supervisory and inspection requirements.

A broker-dealer settled FINRA charges for failing to implement a supervisory system in connection with the sale to retail investors of leveraged

A broker-dealer settled FINRA charges of failing to report transactions arising from the exercise of OTC options, and of related supervisory violations.

Financial Restructuring special counsel Kathryn Borgeson presents a podcast on three of the most important building blocks for a bankruptcy-remote borrower:

SEC Commissioners Peirce and Roisman criticize Chair Gensler's regulatory agenda. Financial Services Committee Chair seeks moratorium on large bank mergers and acquisitions.

Industry Conversations, Mike Mascia sits down with Cadwalader partner Jed Miller to discuss capital relief trades for banks in the context of subscription facilities.

In this episode of Fund Finance Friday: Industry Conversations, Michael Sinclair of People's United Bank joins Mike Mascia to discuss the fund finance happenings at People's United...

In this episode of Fund Finance Friday: Industry Conversations, Michael Sinclair of People's United Bank joins Mike Mascia to discuss the fund finance happenings at People's United...

Cadwalader's Mike Mascia connects with Jeff Johnston, Managing Director and Head of Subscription Finance at Wells Fargo and Chairman of the Fund Finance Association.

A chief compliance officer of an investment firm settled CFTC charges for fraudulently soliciting investments in commodity pools

In the letter that was sent to a variety of auto finance and leasing companies, including banks.

The CFPB requested feedback on inviting regulators, technologists and others to compete to solve regulatory compliance challenges in competitions