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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

Financial services update Vol. 10, Issue 9

  • Winston & Strawn LLP
  • -
  • European Union, USA
  • -
  • March 9 2015

I recently had the opportunity to invest in individual shortterm real estate loans. Having devoted my current liquidity to a real estate

Exceptions to Section 16(b)'s requirement that short-swing profits be disgorged

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 11 2012

On June 4th, the Court of Appeals for the Second Circuit addressed the previously acquired debt and the borderline exceptions to the application of strict liability requirement under Section 16(b) of the 1934 Act that statutory insiders disgorge short-swing profits

Court addresses Section 12 damages in mutual fund case

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 19 2010

On April 14th, the federal district court overseeing a lawsuit alleging that Charles Schwab Corp. misled mutual fund investors by failing to disclose adequately its decision to move half of its YieldPlus portfolio into mortgage-backed securities, addressed the measure of damages recoverable under Section 12 of the Securities Act of 1933, as amended by the Private Securities Litigation Reform Act

Broker-dealers and control person liability

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 30 2010

On August 20th, the Eighth Circuit held that plaintiffs stated a claim for control person liability against a broker-dealer whose registered representative conducted a Ponzi scheme, even though the fraud was conducted through a third-party brokerage firm

Defendants in Galleon Group insider trading case do not need to produce wiretap evidence

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 4 2010

On September 29th, the Second Circuit vacated the district court's order requiring Raj Rajaratnam and Danielle Chiesi to disclose to the SEC wiretapped conversations provided to them by prosecutors in their related criminal insider trading case

Variable annuity holder has standing to bring excessive fee claim

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 1 2012

On September 25th, a Federal District Court denied AXA Equitable Life's motion to dismiss

SEC bar order vacated

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 17 2013

On June 11th, the D.C. Circuit vacated the SEC's order barring petitioner from the securities industry. FINRA, as successor to the NASD, found that

Pre-suit demand required in RICO derivative action

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 1 2013

On March 28th, the Eighth Circuit affirmed the dismissal of a shareholder derivative lawsuit which alleged that the fiduciaries to an investment fund