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Results: 1-10 of 534

Financial services update vol. 10, issue 15
  • Winston & Strawn LLP
  • USA
  • April 20 2015

On April 15th, SEC Chairwoman, Mary Jo White, testified before the House Financial Services Subcommittee to explain the SEC's fiscal year 2016


Transfer agent liability
  • Winston & Strawn LLP
  • USA
  • September 16 2013

On September 10th, the Ninth Circuit addressed transfer agent liability under Section 5 of the Securities Act. The SEC alleged that defendants


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


Financial services update March 10 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • March 10 2014

On March 7th, the D.C. Circuit denied a petition seeking review of OCC sanctions barring Lawrence Dodge, the former CEO of Sterling Bank, from


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


Supreme Court grants certiorari in Sarbanes-Oxley whistleblower matter
  • Winston & Strawn LLP
  • USA
  • June 3 2013

On May 20th, the Supreme Court granted certiorari to address whether an employee of a privately-held contractor or subcontractor of a public company


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