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The U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) fines Oppenheimer & Co. Inc. (“Oppenheimer”) US $20 million for “willfully violating” the Bank Secrecy Act

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 6 2015

Oppenheimer admitted that it failed to implement an adequate anti-money laundering program and failed to conduct due diligence on a foreign

Financial services update January 26 2015 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 26 2015

On January 20th, the Third Circuit addressed whether the purchases and sales of securities issued by U.S. companies through U.S. market makers

Financial services update December 15 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 15 2014

On December 12th, the Second Circuit addressed an issue of first impression for that court, whether 28 U.S.C. Section 1782, which authorizes federal

Financial services update December 15 2014 feature: anti-money laundering developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 15 2014

The Federal Financial Institutions Examination Council ("FFIEC") recently released the revised "Bank Secrecy ActAnti-Money Laundering (BSAAML

Financial services update November 10 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 10 2014

On November 4th, a U.S. District Court partially granted Allergan's motion for a preliminary injunction. Allergan seeks to enjoin defendants from

Financial services update September 29 2014 industry news

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 29 2014

On September 25th, Dealbook detailed how lenders of sub-prime auto loans are installing disabling devices which allow them to make a car undrivable

Financial services update August 18 2014 insights

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 18 2014

On August 13th, the Treasury Department's Office of Foreign Assets Control ("OFAC") provided guidance regarding the status of entities owned by

Financial services update August 11 2014 feature: anti-money laundering

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 11 2014

The Treasury Department's Financial Crimes Enforcement Network (FinCEN) has released a number of anti- money laundering measures in recent weeks. Of

Financial services update July 21 2014 Treasury Department developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 21 2014

On July 17th, the Financial Crimes Enforcement Network ("FinCEN") named FBME Bank Ltd., formerly known as the Federal Bank of the Middle East, as a

Financial services update July 21 2014 industry news

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their