Practice/Industry Group Overview
"Very deep knowledge; not just of the law but also of the business practices across the industry" - Legal 500
Cadwalader's financial regulatory team has expertise in virtually all financial-law-related statutory and regulatory requirements, including those governing broker-dealers, securities and futures exchanges, clearing corporations, banks, insurance, investment advisers, funds and pension plans. We provide advice across the full range of transactions and compliance, including prime brokerage, clearing, financing, capital, compliance, examinations and enforcement, registration (both employee and firm), M&A, sales and trading across the spectrum of products, OATs and other trade reporting issues, and cross-border derivatives transactions.
In light of this range of expertise, our attorneys are increasingly called upon by businesses who need help navigating current and future regulatory challenges stemming from the global financial crisis. We help our clients understand the issues that will affect their industries, entities and transactions, including the impact of regulations and requirements of The Dodd-Frank Wall Street Reform and Consumer Protection Act and a wide variety of European Union Regulatory Reforms targeting investment business and market structures (MiFID II); alternative investment fund managers (AIFMD, the scope of which includes hedge funds, private equity and others operating outside the UCITS); central clearing and exchange-trading of derivatives (EMIR and MiFID II); market abuse and insider dealing (MAD II); capital regimes (CRD IV); and commodity derivatives traders (REMIT, MAD II and MiFID II).
Articles Authored by Lawyers at this office:
Court Holds that San Bernardino is Eligible to File for Chapter 9
Thomas J. Curtin,Mark C. Ellenberg,Lary Stromfeld, October 28, 2013
On October 16, 2013, the U.S. Bankruptcy Court for the Central District of California ruled that the City of San Bernardino is eligible for protection under chapter 9 of the Bankruptcy Code. In re City of San Bernardino, Cal., Case No. 12-28006, 2013 WL 5645560 (Bankr. C.D. Cal. Oct. 16, 2013)....
Are Directors on the Hook When Internal FCPA Controls Fail?
Bradley J. Bondi, October 14, 2013
Directors, in addition to executives, soon may be targets of Foreign Corrupt Practices Act (FCPA) enforcement actions for failing to make a good faith attempt to assure that a corporate information and reporting system is in place.
Directors Must Act Now on Cybersecurity
Keith M. Gerver,Kenneth L. Wainstein, October 14, 2013
In a 2012 Corporate Board Member/FTI Consulting survey, 48 percent of public company directors and 55 percent of corporate general counsels rated data security as their number one concern. According to the Department of Homeland Security, 85 percent of U.S. critical infrastructure is privately...
Detroit Bankruptcy Court Refuses Stay of Chapter 9 Eligibility Hearing Under Stern v. Marshall
Ingrid M. Bagby,Thomas J. Curtin,Mark C. Ellenberg,Howard R. Hawkins,Lary Stromfeld, October 02, 2013
On September 26, 2013, Judge Steven W. Rhodes of the U.S. Bankruptcy Court for the Eastern District of Michigan denied the Official Committee of Retirees’ (the “Committee”) motion to stay all eligibility proceedings pending its motion to withdraw the reference. In re City of...
UK Budget 2013 - Key Tax Measures
Adam Ferguson Blakemore,Ramona Simms, March 27, 2013
The Chancellor of the Exchequer’s fourth Budget, held on 20 March 2012, continued the prevailing taxation themes in recent Budgets of balancing between stimulus and business incentives on the one hand, and anti-avoidance initiatives on the other. However, perhaps more than recent Budgets, the...