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Results: 1-10 of 535

Financial services update March 10 2014 industry news
  • Winston & Strawn LLP
  • USA
  • March 10 2014

On March 6th, the Basel Committee published the results of its Basel III monitoring exercise. A total of 227 banks participated in the current study


Illuminating case on the tax effect of forfeitures and clawbacks
  • Winston & Strawn LLP
  • USA
  • March 17 2014

One of the many unresolved issues in the area of compensation clawbacks (in addition to the fact that we don't have SEC rules on Dodd-Frank Act


Risks in leveraged ETF were adequately disclosed
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 22nd, the Second Circuit affirmed the dismissal of a putative class action securities fraud lawsuit. Plaintiffs allege that the offering


Conflict minerals rules upheld; compliance roadmap outlined
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 23rd, the U.S. District Court for the District of Columbia held that the SEC's rules implementing the Dodd-Frank Act's conflict mineral


Unresolved issues in mutual fund insider trading case require remand
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 22nd, the Seventh Circuit vacated, reversed, and remanded the district court's entry of summary judgment in favor of the SEC in its insider


Financial services update July 21 2014 industry news
  • Winston & Strawn LLP
  • USA
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their


SLUSA preemption precludes pretended securities trades
  • Winston & Strawn LLP
  • USA
  • September 23 2013

On September 16th, the Second Circuit affirmed the dismissal of plaintiffs' state law claims against the defendant banks for allegedly aiding and


Securities Act plaintiffs win pyrrhic victory
  • Winston & Strawn LLP
  • USA
  • September 23 2013

On September 17th, the Third Circuit addressed two Securities Act pleading issues: whether plaintiffs must plead compliance with the statute of


The limits of short-swing profits liability
  • Winston & Strawn LLP
  • USA
  • January 14 2013

On January 7th, the Second Circuit held that Securities Exchange Act Section 16(b) liability for short-swing profits does not attach when a corporate


Financial services update February 3 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 3 2015

On January 26th, the Fourth Circuit affirmed a jury award in favor of a whistleblower that came forward under the SarbanesOxley Act ("SOX"