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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 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


Financial services update June 9 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • June 9 2014

On June 5th, the First Circuit affirmed the dismissal of plaintiffs' securities fraud lawsuit. The appellate court found that Genzyme had no duty to


Court limits Dodd-Frank Act whistleblower rule's reach
  • Winston & Strawn LLP
  • USA
  • October 28 2013

On October 21st, a U.S. District Court addressed the extraterritorial reach of the Dodd-Frank Act's anti-retaliation provisions. Plaintiff, a former


Primary Global insider trading conviction affirmed
  • Winston & Strawn LLP
  • USA
  • October 28 2013

On October 23rd, the Second Circuit affirmed the insider trading conviction of Winifred Jiau, a defendant in the Primary Global expert networking


FCPA Guidance released by DOJ and SEC
  • Winston & Strawn LLP
  • USA
  • December 6 2012

On November 14, 2012, the Department of Justice and the Securities and Exchange Commission released their much-anticipated joint non-binding guidance “A Resource Guide to the U.S. Foreign Corrupt Practices Act” (the Guide


Guidance
  • Winston & Strawn LLP
  • USA
  • December 3 2012

On November 14th, the SEC and the Department of Justice released A Resource Guide to the U.S. Foreign Corrupt Practices Act


Financial services update May 14 2014 Securities and Exchange Commission
  • Winston & Strawn LLP
  • USA
  • May 14 2014

On May 2nd, the Securities and Exchange Commission ("SEC") issued an order staying the portions of Exchange Act Rule 13p-1 and Form SD that require


Financial services update February 24 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 24 2014

On February 18th, a divided three-judge panel of the Second Circuit held that an insider trading tipper can be required to disgorge all the improper


SEC's investigation of Madoff was discretionary
  • Winston & Strawn LLP
  • USA
  • July 15 2013

On July 1st, the Third Circuit joined other courts in finding that it lacks subject matter jurisdiction over claims brought under the Federal Tort