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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 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


Supreme Court Clarifies What Constitutes a “Personal Benefit” for Purposes of Insider Trading
  • Winston & Strawn LLP
  • USA
  • December 7 2016

Can an insider trading conviction be based on an insider’s “tip” to a close friend or family member, even if the insider himself received no tangible


SEC brings first enforcement action over confidentiality agreement
  • Winston & Strawn LLP
  • USA
  • April 2 2015

On April 1, the Security Exchange Commission (SEC) announced its first enforcement action against a company for using language in employee


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


Recent Court Decision Illustrates the Value of a 10b5-1 Plan
  • Winston & Strawn LLP
  • USA
  • June 7 2017

Lyle Roberts makes an interesting point in his 10b-5 Daily Blog in a post titled The Outset of the Fraud, which summarizes a recent federal court


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


Lack of knowledge removes control person liability but imputed knowledge raises Rule 10b-5 liability
  • Winston & Strawn LLP
  • USA
  • February 25 2013

On February 22nd, the Third Circuit partially reinstated securities fraud and state law unfair trading practices claims asserted by investors against


Avon announces deal with U.S. DOJ and SEC regarding allegations of bribery in China
  • Winston & Strawn LLP
  • USA
  • May 13 2014

Avon Products Inc. (Avon) has announced the conclusion of a deferred prosecution agreement with the DOJ, agreeing to a compliance monitor for 18


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