We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 726

Financial services update February 24 2014 feature: Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • February 24 2014

The SEC's 2014 priorities include continued, rigorous enforcement of the Foreign Corrupt Practices Act ("FCPA"). As noted by the agency in January, a


Financial services update February 24 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 24 2014

On February 18th, a divided three-judge panel of the Second Circuit held that an insider trading tipper can be required to disgorge all the improper


Hedge fund's general counsel receives Wells Notice
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 14th, Law.com discussed the SEC's decision to inform Robin Roger, general counsel at Harbinger Capital Partners, that she is the target of a possible enforcement action


Firms must disclose business with state sponsors of terrorism
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 11th, Reuters, covering a Financial Times article, reported that the SEC's Division of Corporation Finance has asked U.S. companies to identify their activities in countries that have been designated as state sponsors of terrorism


FinCEN advisory on risks associated with third-party payment processors
  • Winston & Strawn LLP
  • USA
  • October 29 2012

On October 22nd, the Financial Crimes Enforcement Network issued an Advisory to provide guidance to financial institutions when filing Suspicious Activity Reports on activities related to third-party payment processors


Campaign contributions from convicted Ponzi schemer must be returned
  • Winston & Strawn LLP
  • USA
  • October 29 2012

On October 23rd, the Fifth Circuit affirmed the district court's order finding that $1.6 million in campaign contributions made by convicted Ponzi schemer R. Allen Stanford to various Democratic and Republican campaign committees must be returned to the SEC-appointed receiver for Stanford's companies as fraudulent transfers


FinCEN seeks comments on possible customer due diligence obligation
  • Winston & Strawn LLP
  • USA
  • March 5 2012

On February 29th, the Financial Crimes Enforcement Network issued an advanced notice of proposed rulemaking to solicit public comment on questions pertaining to the possible application of an explicit customer due diligence obligation on financial institutions, including a requirement for financial institutions to identify beneficial ownership of their accountholders


What 2014’s government enforcement says for 2015
  • Winston & Strawn LLP
  • USA
  • December 17 2014

The article outlines key developments in white collar criminal enforcement in 2014 and explains what these developments tell us about government


BHP Billiton announces further details of anti-corruption investigation
  • Winston & Strawn LLP
  • USA
  • August 27 2013

On 16 August 2013, BHP Billiton published an announcement that it had received a request from the US Securities and Exchange Commission ("SEC") for


Financial services update August 11 2014 industry news
  • Winston & Strawn LLP
  • USA
  • August 11 2014

On August 6th, DealBook summarized the findings of the most recent Cornerstone ResearchStanford Law School report on class action securities fraud