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Results: 1-10 of 1,848

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 23
  • Winston & Strawn LLP
  • USA
  • July 13 2015

On June 29, 2015, the Securities and Exchange Commission (“SEC”) settled an enforcement action against Kohlberg Kravis Roberts & Co., a private


Debt traders beware: the SEC is watching
  • Winston & Strawn LLP
  • USA
  • May 14 2013

There is a vibrant market in selling all forms of debt, including bank debt, bond debt, and even trade claims. Many believe that the trading of debt


Financial services update September 8 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • September 8 2014

Regulatory Capital Rules: Advanced Approaches Risk-Based Capital Rule, Revisions to the Definition of Eligible Guarantee. 79 FR


Making it easier to “amend-and-extend” syndicated loan agreements
  • Winston & Strawn LLP
  • USA
  • January 19 2012

A relatively recent development has been appearing with increasing frequency in newly negotiated and completed loan agreements for deals involving a syndicated bank group of two or more lenders


The U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) fines Oppenheimer & Co. Inc. (“Oppenheimer”) US $20 million for “willfully violating” the Bank Secrecy Act
  • Winston & Strawn LLP
  • USA
  • February 6 2015

Oppenheimer admitted that it failed to implement an adequate anti-money laundering program and failed to conduct due diligence on a foreign


Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


Financial services update vol. 10, issue 22
  • Winston & Strawn LLP
  • Australia, China, USA
  • June 29 2015

China and Australia recently signed the ChinaAustralia Free Trade Agreement (ChAFTA) after ten years of negotiations. Upon full implementation of


eDiscovery advantage volume 4, issue 2
  • Winston & Strawn LLP
  • USA
  • August 20 2014

Since the last edition of eDiscovery Advantage, there have been a number of developments in the e-Discovery, Information Governance, and Privacy


RESPA private right of action exists for violations not involving overcharges
  • Winston & Strawn LLP
  • USA
  • November 2 2009

On October 28th, the Third Circuit held that a consumer may bring a private right of action for a violation of RESPA section 8 even if the violation did not result in a traditional, monetary injury in the form of an overcharge for mortgage settlement services