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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


The Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • May 20 2013

The SEC recently announced two high-profile Foreign Corrupt Practices Act ("FCPA") cases. The first involved the Ralph Lauren Corporation, where the


Ten year officer and director bar affirmed
  • Winston & Strawn LLP
  • USA
  • May 20 2013

On May 14th, the Second Circuit affirmed the ten year officer and director ban imposed against Brent Bankosky, a senior director at Takeda


SEC announces enforcement actions for violations of the stock acquisitionaward requirements of Section 16(a)
  • Winston & Strawn LLP
  • USA
  • September 12 2014

This was widely reported in the business press (including a mention on the front page of The Wall Street Journal) yesterday, but in case you missed


Financial services update May 14 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • May 14 2014

On May 8th, a U.S. District Court held that the chief risk officer of an insurance company could sue her employer for violations of the


Financial services update December 15 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 15 2014

On December 12th, the Second Circuit addressed an issue of first impression for that court, whether 28 U.S.C. Section 1782, which authorizes federal


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


SAR Activity Review released
  • Winston & Strawn LLP
  • USA
  • October 19 2009

On October 14th, the Financial Crimes Enforcement Network released the 16th Issue of SAR Activity Review - Trends, Tips & Issues


Manhattan U.S. Attorney's Office to investigate CDOs and CDSs
  • Winston & Strawn LLP
  • USA
  • March 7 2011

On March 3rd, Bloomberg reported the remarks of Christopher Garcia, head of the Securities and Commodities Fraud Task Force in the Manhattan U.S. Attorney's Office


Former SEC General Counsel responds to Madoff-related questions
  • Winston & Strawn LLP
  • USA
  • March 7 2011

On February 28th, Bloomberg reported former SEC General Counsel David Becker's response to Congressional questions concerning his involvement in the SEC's investigation of Bernard Madoff