We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 341

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 vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement


Financial services update Vol. 10, Issue 10
  • Winston & Strawn LLP
  • USA
  • March 16 2015

The U.S. Commodity Future Trading Commission ("CFTC") is holding a public roundtable on Cybersecurity and System Safeguards Testing on Wednesday


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


Financial services update February 9 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 9 2015

On February 4th, the First Circuit affirmed the dismissal of a shareholder derivative suit alleging that Smith & Wesson made misleading statements


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


SEC announces three new enforcement task forces
  • Winston & Strawn LLP
  • USA
  • July 15 2013

On July 2nd, the SEC announced three new enforcement initiatives: the Financial Reporting and Audit Task Force, which will be dedicated to detecting


Registration renewal for money service businesses
  • Winston & Strawn LLP
  • USA
  • December 3 2012

On November 20th, the Financial Crimes Enforcement Network reminded certain money service businesses of the need to electronically file their registration renewals


Financial services update April 28 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • April 28 2014

On April 25, the Second Circuit partially reinstated a shareholder lawsuit alleging that Barclays and its former officers misrepresented the bank's


SEC announces new financial crime enforcement initiatives
  • Winston & Strawn LLP
  • USA
  • July 17 2013

The SEC has created three new initiatives to enhance the efforts of its Enforcement Division in investigations of financial crime. The Financial