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Financial services update Vol. 10, Issue 11

  • Winston & Strawn LLP
  • -
  • European Union, USA
  • -
  • March 23 2015

This edition focuses on corporate governance and its Related Issues. In particular, academics from the School of Accountancy at Singapore Management

Financial services update Vol. 10, Issue 10

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 16 2015

The U.S. Commodity Future Trading Commission ("CFTC") is holding a public roundtable on Cybersecurity and System Safeguards Testing on Wednesday

The Goodyear Tire & Rubber Co. (“Goodyear”) has agreed to pay US$16.2 million in settlement to the United States Securities and Exchange Commission (“SEC”) for violations of the FCPA

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 11 2015

On 24 February 2015, Goodyear entered a Cease-and-Desist Order (the "Order") which referred to the SEC's acceptance of Goodyear's settlement offer

FCA and PRA consultation paper on whistleblowing in deposit-takers, PRA-designated investment firms and insurers

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • March 11 2015

On 23 February 2015, the FCA and PRA published a consultation paper proposing a package of measures with the aim of formalising firms' whistleblowing

Two former employees of Smith and Ouzman Limited (“the Company”) have been sentenced for offences in relation to corrupt payments by Southwark Crown Court

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • March 11 2015

On 12 February 2015, Christopher Smith (the former Chairman) and Nicholas Smith (the former Sales and Marketing Director) were sentenced following

The US Eleventh Circuit Court of Appeal has affirmed the conviction of a foreign official under the FCPA

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 11 2015

On 9 February 2015, in United States v Duperval, the Eleventh Circuit upheld the nine year prison sentence given to Jean Rene Duperval, a former

FCA fines Bank of Beirut (UK) Ltd (“Bank of Beirut”) £2.1 million for providing misleading information

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • March 11 2015

In a Final Notice issued on 4 March 2015, the Bank of Beirut was fined £2.1 million (Stage 1: 30 discount: breach of principle 11) and was

Financial services update March 3 2015 feature: antimoney laundering

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 3 2015

Last Wednesday Andrew Ceresney, the Director of the Securities and Exchange Commission' ("SEC") Division of Enforcement, discussed the culture of

Crime, corruption & other misdeeds

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 28 2015

A North Carolina district attorney has requested that the State Bureau of Investigation inquire into the alleged corruption of Dana Cope, a member of

Financial services update February 9 2015 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 9 2015

On February 4th, the First Circuit affirmed the dismissal of a shareholder derivative suit alleging that Smith & Wesson made misleading statements