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Results: 1-10 of 364

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


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 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 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 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 October 6 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • October 6 2014

On October 2nd, the Supreme Court granted certiorari to consider whether a claim that 401(k) plan fiduciaries breached their duty of prudence by


Former chief compliance officer of WG Trading Company (“WG”) avoids a custodial sentence by helping prosecutors convict the firm’s two partners in a US $554 million fraud scheme
  • Winston & Strawn LLP
  • USA
  • February 6 2015

Two WG partners pleaded guilty and were sentenced to 10 and 20 years respectively. The ex-compliance chief was sentenced to one year of supervised


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


The US Security and Exchange Commission (“SEC”) has made a preliminary determination to recommend enforcement actions for FCPA violations related to the Bank of New York Mellon Corporation’s (“BNY”) sovereign wealth fund practices
  • Winston & Strawn LLP
  • USA
  • February 6 2015

BNY received a notice at the end of 2014 from the SEC informing BNY that a preliminary SEC investigation had recommended enforcement actions. The


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