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Results: 1-10 of 952

Financial Services, Vol. 12, Issue 4
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • January 30 2017

On January 26, Sen. Sherrod Brown (D-Ohio), a ranking member of the Senate Banking Committee, and Rep. Maxine Waters (D-Calif.), a ranking member of


Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities


Financial Services Update, Vol.11, Issue 45
  • Winston & Strawn LLP
  • USA
  • December 12 2016

Since the Federal Election, much has been written on what the results may mean for reform of bank regulation. Many have suggested that we will see


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


Crime, Corruption & Other Misdeeds - November 2016
  • Winston & Strawn LLP
  • USA
  • December 6 2016

Anthony Frederick, the former business manager of a LIUNA local in Washington, D.C., pled guilty in federal court to stealing $1.7 million from the


FinCEN Advisory on Cyber-Crime Includes Details for Completing SARs
  • Winston & Strawn LLP
  • USA
  • November 15 2016

The Financial Crimes Enforcement Network (FinCEN) of the Treasury Department recently issued an advisory and a related FAQ for financial institutions


Financial Services Update, Vol. 11, Issue 38
  • Winston & Strawn LLP
  • USA
  • October 17 2016

The SEC announced on October 11th that it filed a record number of enforcement actions in fiscal year 2016. During the fiscal year, which ended


Crime, Corruption & Other Misdeeds - September 2016
  • Winston & Strawn LLP
  • USA
  • October 10 2016

A former United Steelworkers union official was arrested and charged with stealing union funds. The 29-count federal indictment charges David R. Sager


Financial Services Update, Vol. 11, Issue 35
  • Winston & Strawn LLP
  • USA
  • September 26 2016

The Securities and Exchange Commission’s (“SEC”) Office of Compliance, Inspections and Examinations (“OCIE”) issued a Risk Alert on September 12th


Financial Services Update, Vol. 11, Issue 34
  • Winston & Strawn LLP
  • USA
  • September 19 2016

A federal court recently granted the Consumer Financial Protection Bureau (CFPB) summary judgment regarding liability against CashCall, Inc., its