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Credit Suisse Group AG (“CS”) has agreed to pay $196 million and admit wrongdoing in order to settle charges
  • Winston & Strawn LLP
  • USA
  • March 11 2014

According to the SEC, CS relationship managers communicated with US clients from abroad and travelled to the US to solicit clients, provide


Financial services update March 10 2014 industry news
  • Winston & Strawn LLP
  • USA
  • March 10 2014

On March 6th, the Basel Committee published the results of its Basel III monitoring exercise. A total of 227 banks participated in the current study


The Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • June 24 2013

In a recent speech Mythili Raman, acting assistant attorney general in the Justice Department's Criminal Division, discussed the growing trend among


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


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


Designations
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 23rd, the Treasury Department designated two Mexican nationals, Jose Odilon Ramirez Perales and Ismael Lopez Guerrero, pursuant to the


SAC capital indicted.
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 25th, the office of the Manhattan U.S. Attorney announced the indictment of SAC Capital Advisors, L.P., and its affiliated companies. The


Financial services update July 21 2014 industry news
  • Winston & Strawn LLP
  • USA
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their


U.S. AML developments
  • Winston & Strawn LLP
  • USA
  • July 22 2013

In the U.S., recent federal efforts to combat money laundering and terrorist financing include the Financial Crimes Enforcement Network's issuance


Crime, corruption & other misdeeds
  • Winston & Strawn LLP
  • USA
  • February 6 2013

Ava Ramey, a former trustee of United Government Security Officers of America Local 21 in Bowie, Md., pled guilty to embezzling more than $370,000