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Financial services update December 9 2013 feature: the SEC hits the lecture circuit

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 9 2013

The SEC commissioners have been out on the road a lot recently, telling the world about the bright lights it is shining into the dark nooks and

FinCEN developing aml program for investment advisers

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 21 2011

On November 15th, FinCEN Director James H. Freis Jr. discussed his agency's recent anti-money laundering and counter-terrorist financing ("AMLCFT") efforts

Ninth Circuit affirms securities fraud related money laundering conviction

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 6 2010

On December 3rd, the Ninth Circuit addressed whether the U.S. Supreme Court's decision in U.S. v. Santos, which discussed money laundering under 18 U.S.C. 1956, applies to a money laundering case brought under Section 1957

Lack of knowledge removes control person liability but imputed knowledge raises Rule 10b-5 liability

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 25 2013

On February 22nd, the Third Circuit partially reinstated securities fraud and state law unfair trading practices claims asserted by investors against

SAR Activity Review released

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 19 2009

On October 14th, the Financial Crimes Enforcement Network released the 16th Issue of SAR Activity Review - Trends, Tips & Issues

Securities fraud lawsuit dismissed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 23 2010

On August 16th, a federal district court dismissed a putative class action securities fraud complaint alleging that defendants made material misrepresentations about the adequacy of a subsidiary's loss reserves and the quality of its loan portfolio

Primary Global insider trading conviction affirmed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 28 2013

On October 23rd, the Second Circuit affirmed the insider trading conviction of Winifred Jiau, a defendant in the Primary Global expert networking

Inquiry notice after Merck & Co. v. Reynolds

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 7 2011

On February 28th, the Second Circuit vacated the dismissal of a putative class action securities fraud lawsuit and addressed when a securities fraud plaintiff is on inquiry notice in light of Merck & Co. Reynolds, 130 S.Ct. 1784 (2010

Insider trading settlement conditionally approved

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 22 2013

On April 16th, U.S. District Court Judge Victor Marrero thoughtfully explained why he has conditionally approved the SEC's proposed $600 million

Guidance

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 3 2012

On November 14th, the SEC and the Department of Justice released A Resource Guide to the U.S. Foreign Corrupt Practices Act