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Results: 1-10 of 749

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 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 October 6 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • October 6 2014

On October 2nd, the Supreme Court granted certiorari to consider whether a claim that 401(k) plan fiduciaries breached their duty of prudence by


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 vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement


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


SEC and Justice Department issue FCPA guidance
  • Winston & Strawn LLP
  • USA
  • November 19 2012

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


New AML risk
  • Winston & Strawn LLP
  • USA
  • November 19 2012

On November 13th, Bloomberg summarized the remarks of Daniel Stipano, the OCC's acting chief counsel


SEC announces new financial crime enforcement initiatives
  • Winston & Strawn LLP
  • USA
  • July 17 2013

The SEC has created three new initiatives to enhance the efforts of its Enforcement Division in investigations of financial crime. The Financial