We have expertise in virtually all of the financial-law related statutory and regulatory requirements, including regulations governing broker-dealers, securities and futures exchanges, banks, investment advisers and funds. We believe that no other firm can match the depth and range of our expertise, or the diversity of the clients whom we represent and the issues that we face.

• Broker-dealers: Our advice covers organizational structures; regulatory issues involved in all forms of complex structured products and securitizations; employee issues; sales and trading practices and procedures; the development of compliance and supervisory procedures; satisfaction of margin, capital and recordkeeping requirements; the rules of self-regulatory organizations; privacy; securities offering procedures; and insider trading issues. Department Co-Chair Steve Lofchie is the author of Lofchie’s Guide to Broker-Dealer Regulation, the leading treatise in the field.

• Securities and Futures Exchanges: We are experienced in representing equity, options and futures exchanges and clearing corporations, as well as alternative trading systems, with regards to issues relating to membership, electronic trading and routing systems, and compliance with agency rules and regulations. We have developed and implemented solutions for market structure problems including order routing and clearing systems and the settlement of transactions. Steve Lofchie also obtained SEC approval for the only non-U.S. exchange permitted to trade securities in the United States.

• Banking: We have a leading banking practice representing many U.S. and foreign depository institutions. We provide advice on issues of bank powers, mergers and acquisitions, charters and licenses, supervisory issues, insolvency concerns, affiliate issues, capital markets, and other regulatory matters. We have appeared in the last few years in front of every major bank regulator on behalf of our financial institution clients.

• Advisors: Our advisory clients include firms that are active in both the securities and futures markets, both those that are required to register and those that operate pursuant to an exemption. We have extensive expertise in cross-border issues and in dealing with conflicts of interest and other issues that arise when advisors are part of complex financial organizations or themselves have advisory clients with differing interests.

• CEA: We are involved in all aspects of regulation under the CEA including representing futures exchanges, FCMs, CPOs and CTAs. As noted in the description of our funds practice, we have long experience in representing public commodity pools. We are also particularly expert in issues as to the scope of CEA regulation, including its application to otc derivatives and foreign listed products.

• Blue Sky Laws: We have a leading state securities law (Blue Sky) practice, including representing clients in registration, exemption and enforcement proceedings under the securities, broker-dealer and investment adviser registration provisions of such laws. We have extensive experience in issues concerning public commodity pool and asset- and mortgage-backed securities offerings, as well as hedge fund and other private securities offerings. We have submitted numerous comment letters to state securities officials in connection with rule and policy proposals on a variety of subjects, and our attorneys serve as officers of the State Regulation of Securities Committee of the American Bar Association Section of Business Law and subcommittees thereof.

The group and other Cadwalader partners are also highly knowledgeable in issues relating to privacy, FCPA, OFAC and AML.

We believe that our continued strength lies in ensuring that we attract, retain, and nurture the very best talent from all backgrounds, and we expect the future complexion of Cadwalader, Wickersham & Taft LLP will, with each passing year, more closely reflect the global community that we serve. 

Cadwalader has worked diligently to promote an inclusive work environment and, over the years, has developed many initiatives to fit our unique goals and challenges on issues of diversity and inclusion.  With the creation of the Cadwalader Center for Diversity & Inclusion (CCDI), a central resource for the firm’s diversity programs, initiatives and policies, we aim to improve upon our successes and follow through on our promise to weave diversity and inclusion principles into the fabric of our culture. 

The mission of the CCDI is to enhance gender, racial/ethnic, and LGBT diversity and inclusion within the firm to create an unrivalled environment that attracts, retains and promotes the best and brightest talent available to serve our clients. Governed by the Global Diversity Committee, chaired by Patrick T. Quinn, Managing Partner, the CCDI is a vehicle to support the work we currently perform, to reinforce our dedication to that work, to recognize outstanding effort and to communicate - to each other and to the clients we serve - our longstanding commitment to diversity and inclusion.

Recent Programs & Events

The Cadwalader Center for Diversity and Inclusion hosts programs and events throughout the year that are designed to increase cultural competence, celebrate history and heritage and educate attorneys on how to work effectively on diverse teams.

From Megan’s Law to Bernie Madoff: A Conversation with Judge Chin

- July 23, 2015

The Cadwalader Asian Pacific American Attorney Resource Group hosted a conversation with the Honorable Denny Chin, United States Circuit Judge for the Second Circuit.  During the interactive conversation, Judge Chin discussed his experiences as a federal judge and his path to the bench. Attendees had the opportunity to network and speak with Judge Chin during the cocktail reception that followed.

The Fight for Marriage Equality in the Supreme Court

- June 9, 2015

The Cadwalader LGBT Network and the Gay & Lesbian Advocates & Defenders (GLAD) hosted a Pride Month event, The Fight for Marriage Equality in the Supreme Court, featuring Mary Bonauto, GLAD’s Civil Rights Project Director and Janson Wu, GLAD’s Executive Director. During the presentation Mary discussed her experience arguing before the U.S. Supreme Court for marriage equality and Janson discussed the future of the LGBT rights movement.

Justice Denied: Wards Cove Packing Co. v. Atonio

- May 12, 2015

Members of the Asian American Bar Association of New York, including Cadwalader attorneys and the Honorable Denny Chin of the U.S. Court of Appeals for the Second Circuit presented a case reenactment of Wards Cove Packing Co. v. Atonio, a landmark employment discrimination case. The presentation told the story of the Wards Cove workers through narration, reenactment of court proceedings, and historic photographs. To view the performance, click here.

The Partner Track

- May 5, 2015

The Cadwalader Asian Pacific American Attorney Resource Group and the Women’s Leadership Initiative co-hosted a panel discussion with Cadwalader Partners, Ingrid Bagby, Kathy Chin and Athena Eastwood, focusing on their career experiences and paths to partnership. The panel was moderated by Helen Wan, author of The Partner Track, a fictional story about a young Asian-American corporate associate up for partner at her New York law firm.

“From Selma to Ferguson to Today: Why Civil Rights Matter,” featuring Professor Charles Ogletree, Harvard Law School

- April 29, 2015

The Cadwalader Black and Latino Association hosted a conversation with Charles Ogletree, Harvard Law School Jesse Climenko Professor of Law, and Founding and Executive Director of the Charles Hamilton Houston Institute for Race and Justice.  The conversation was followed by a cocktail reception where attorneys had the opportunity to network  and speak with Professor Ogletree.

The Art of Building Business Relationships and Executive Presence

- March 25, 2015

The Women’s Leadership Initiative and Diane Darling, Founder of the Darling Institute, hosted a workshop on building business relationships and executive presence.  This interactive presentation explored how professionals at all stages of their career can integrate networking and relationship-building into their everyday lives. 

WLI London Client Event: “Walking the Nile” by Levison Wood

– March 12, 2015

The Women’s Leadership Initiative hosted a special evening at our London office with Levison Wood, explorer, writer, and photographer. Formerly an officer in the British Parachute Regiment, Wood has led pioneering journeys into undiscovered regions, travelling to more than 80 countries. His nine-month walk along the length of the Nile, from source to sea, is chronicled in a recent Channel 4 documentary. During the presentation Wood described the amazing people, breathtaking places and shocking sights he encountered on his ground-breaking expedition.