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Financial services update Vol. 10, Issue 11
  • Winston & Strawn LLP
  • European Union, USA
  • March 23 2015

This edition focuses on corporate governance and its Related Issues. In particular, academics from the School of Accountancy at Singapore Management

Financial services update vol. 10, issue 14
  • Winston & Strawn LLP
  • USA
  • April 13 2015

In the field of financial services regulation, you may be forgiven for not having recognized the stimulating connections here. The Federal Reserve's

SEC releases final and proposed rules regarding SB swap reporting
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • February 27 2015

The Securities and Exchange Commission (SEC) recently issued three releases with final and proposed regulations addressing the reporting of

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

SEC adopts new rules governing the reporting and dissemination of swaps data
  • Cahill Gordon & Reindel LLP
  • USA
  • February 11 2015

In January 2015, the U.S. Securities and Exchange Commission ("SEC") voted to approve recommendations from its staff to adopt new rules governing the

Alcoa’s derivative settlement another consequence of FCPA misdeeds
  • Arent Fox LLP
  • USA
  • January 30 2015

Foreign Corrupt Practices Act (FCPA) violations can lead to significant collateral consequences. That is the reminder from Alcoa Inc.'s recent

Fantasy investing meets real life: sand hill exchange settles with the SEC for the illegal offering of unregistered security-based swaps
  • Manatt Phelps & Phillips LLP
  • USA
  • August 5 2015

On June 17, 2015, the SEC announced that it had reached a settlement with Sand Hill Exchange to resolve charges that it had illegally offered and

Financial services update February 17 2015 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • February 17 2015

Transferred OTS Regulations Regarding Possession by Conservators and Receivers for Federal and State Savings Associations. 80 FR 5015. Removal of

SEC investigation into illegal use of swaps in trading of private technology shares
  • Herbert Smith Freehills LLP
  • USA
  • July 6 2015

The SEC is understood to have subpoenaed a number of firms in connection with an investigation into the sale of private pre-IPO technology stocks

Federal Reserve remains under scrutiny; CFTC reopens comment period on position limits, staff to hold roundtable
  • Squire Patton Boggs
  • USA
  • March 2 2015

This week, Congress will continue its focus on examining potential reforms to the Federal Reserve. Last week, Federal Reserve Chair Janet Yellen