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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


FinCEN publishes SAR and CTR reporting guidance
  • Winston & Strawn LLP
  • USA
  • June 3 2013

On May 22nd the Financial Crimes Enforcement Network published two sets of frequently asked questions to assist financial institutions in their use


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


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 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 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


Former Bechtel Corporation (“Bechtel”) executive sentenced to 42 months in prison and ordered to forfeit US $5.2 million in connection with kickback scheme
  • Winston & Strawn LLP
  • USA
  • March 31 2015

On 23 March 2015, Asem Elgawhary (former principal vice president of Bechtel and general manager at Power Generation Engineering and Services Company


Former chief compliance officer of WG Trading Company (“WG”) avoids a custodial sentence by helping prosecutors convict the firm’s two partners in a US $554 million fraud scheme
  • Winston & Strawn LLP
  • USA
  • February 6 2015

Two WG partners pleaded guilty and were sentenced to 10 and 20 years respectively. The ex-compliance chief was sentenced to one year of supervised