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Financial Services Update, Vol. 12, Issue 20
  • Winston & Strawn LLP
  • European Union, Ireland, United Kingdom, USA
  • May 15 2017

U.S. financial regulators are tackling one of Wall Street’s biggest concerns by discussing the Volcker Rule. The Volcker Rule governs banks’


Financial Services Update, Vol. 12, Issue 19
  • Winston & Strawn LLP
  • USA
  • May 8 2017

On May 3rd, the SEC proposed amendments to the definitions of “venture capital fund” and “assets under management” under rules 203(l)-1 and 203(m)-1


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


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


Financial Services Update, Vol. 12, Issue 17
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • April 24 2017

Among recent financial services regulatory developments, there appear to be at least four worthy of particular note. First, the Consumer Financial


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


Financial Services Update, Vol. 12, Issue 18
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • May 1 2017

As companies continue to strengthen their social media outreach efforts, we often have to remind clients that securities laws and financial industry


DTC extends end-of-day cut-off time for processing to the Federal Reserve
  • Winston & Strawn LLP
  • USA
  • December 13 2010

On December 2nd, the SEC granted immediate effectiveness to The Depository Trust Company's proposed changes to its end-of-day settlement processing system, which controls and coordinates the settlement of Participant accounts and Settling Bank accounts on DTC's system


Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities


Agencies issue guidance on obtaining beneficial ownership information for certain accounts and customer relationships
  • Winston & Strawn LLP
  • USA
  • March 8 2010

On March 5th, the Financial Crimes Enforcement Network, federal banking agencies, and the SEC issued "Guidance on Obtaining and Retaining Beneficial Ownership Information," which clarifies and consolidates regulatory expectations for obtaining beneficial ownership information for certain accounts and customer relationships