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PCAOB re-proposes new auditing standard affecting executive compensation and risk assessments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 20 2013

Readers know that I have blogged many times on the SEC's compensation risk assessment requirement for public companies. And on that subject, last

Debt traders beware: the SEC is watching

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 14 2013

There is a vibrant market in selling all forms of debt, including bank debt, bond debt, and even trade claims. Many believe that the trading of debt

Private equity funds face increased scrutiny from the SEC

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 14 2013

The SEC has increased its focus on the private equity industry over the last few years. In 2010, the SEC formed the Asset Management Unit in order to

FCA censures money transfer company under the Payment Services Regulations

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • May 13 2013

On 30 April 2013, the FCA published the Final Notice issued to Horn Express Ltd (formerly known as Quaran Express Money Transfer Limited), a money

NYSE Euronext: Amendment to attestation rule for retail member organizations is approved

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 13 2013

On May 3rd, the SEC approved the proposed rule changes submitted by the New York Stock Exchange and NYSE MKT amending the exchanges' respective

Longer period designated to consider proposed ETP pilot

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 13 2013

On May 3rd, the SEC designated June 17, 2013 as the date by which it will approve, disapprove, or institute disapproval proceedings regarding NYSE

FCA publishes responses to Discussion Paper on Transparency

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • May 13 2013

As previously reported in this Newsletter, the FSA published its Discussion Paper on Transparency on 4 March 2013 which sought views on various

Investor alert

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 13 2013

On May 9th, the Securities and Exchange Commission (the "SEC") and the Financial Industry Regulatory Authority ("FINRA") published an investor alert

National Stock Exchange: new order type approved

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 13 2013

On May 6th, the SEC approved the National Stock Exchange's proposed new order type called the "Auto-Ex Only" Order and the addition of new

Financial services update, vol. 8, number 19

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 13 2013

In 2012, Congress enacted the Stop Trading on Congressional Knowledge Act (or the "STOCK Act"), in an effort to ban insider trading by members of

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