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Results: 1-10 of 777

Illuminating case on the tax effect of forfeitures and clawbacks
  • Winston & Strawn LLP
  • USA
  • March 17 2014

One of the many unresolved issues in the area of compensation clawbacks (in addition to the fact that we don't have SEC rules on Dodd-Frank Act


FinCEN proposes AML plan for non-bank mortgage lenders
  • Winston & Strawn LLP
  • USA
  • December 13 2010

On December 6th, the Financial Crimes Enforcement Network proposed for comment a requirement that non-bank residential mortgage lenders and originators, like other types of financial institutions, establish anti-money laundering programs and comply with suspicious activity report regulations


Treasury Department targets hHzballah financial network
  • Winston & Strawn LLP
  • USA
  • December 13 2010

On December 9th, the Treasury Department targeted Hizballah's financial network by designating Hizballah fundraisers Ali Tajideen and Husayn Tajideen


Court questions SEC's settlement practice
  • Winston & Strawn LLP
  • USA
  • March 28 2011

On March 21st, Judge Jed S. Rakoff reluctantly granted the proposed settlement of the SEC's accounting fraud action against a company and two of its executives


FINRA reminds members of their FCPA obligations
  • Winston & Strawn LLP
  • USA
  • March 28 2011

On March 18th, FINRA reminded its members of their obligations under the Foreign Corrupt Practices Act


SEC Approves FINRA Capital Acquisition Broker Rules
  • Winston & Strawn LLP
  • USA
  • September 13 2016

The Securities and Exchange Commission ("SEC") recently approved FINRA’s capital acquisition broker rules. A copy of the approval order is available


Former UBS traders face criminal charges in the US arising from LIBOR investigation
  • Winston & Strawn LLP
  • USA
  • January 14 2013

In a new development in the global LIBOR investigations, two former UBS traders now face felony charges for their conduct, including conspiring "to


Judge in SEC enforcement action puts brakes on settlement deal with IBM over alleged bribes to Chinese officials
  • Winston & Strawn LLP
  • USA
  • January 14 2013

Despite the agreement of the parties, Judge Leon (U.S. District Judge in the District of Columbia circuit) refused to approve the settlement


US Walmart declares US$73 million on FCPA-expenses in first quarter of 2013
  • Winston & Strawn LLP
  • USA
  • May 30 2013

Walmart, the largest retailer in the US, announced in its First Quarter Earnings Call this week that it spent $73 million in the first quarter of


DOJ focused on “bribes of consequence”
  • Winston & Strawn LLP
  • USA
  • December 3 2012

Assistant Attorney General for the Criminal Division Lanny Breuer gave a speech at the American Conference Institute’s 28th National Conference on the FCPA, two days after the release of the DOJ’s new FCPA Guidance, where he clarified that the DOJ will pursue cases when payments “have a fundamentally corrosive effect on the way companies do business abroad.”