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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, vol. 11, issue 1
  • Winston & Strawn LLP
  • USA
  • January 11 2016

On December 30, 2015, the U. S. District Court for the Central District of California denied a motion for judgment on the pleadings filed by CashCall


Financial services update vol. 10, issue 12
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • March 30 2015

On March 19, 2015, Federal Reserve Governor Daniel Tarullo testified before the U. S. Senate Committee on Banking, Housing, and Urban Affairs at a


Financial services update February 17 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 17 2015

On February 10th, the Ninth Circuit considered the meaning of the term “Capital Treatment Event” as used in the indenture for certain trust preferred


Recent Court Decision Illustrates the Value of a 10b5-1 Plan
  • Winston & Strawn LLP
  • USA
  • June 7 2017

Lyle Roberts makes an interesting point in his 10b-5 Daily Blog in a post titled The Outset of the Fraud, which summarizes a recent federal court


Financial services update February 9 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 9 2015

On February 4th, the First Circuit affirmed the dismissal of a shareholder derivative suit alleging that Smith & Wesson made misleading statements


Sarbanes-Oxley whistleblower standards
  • Winston & Strawn LLP
  • USA
  • March 11 2013

On March 5th, the Second Circuit clarified the pleading and burdens of proof applicable to Sarbanes-Oxley whistleblower suits. First, plaintiff must


Financial Services Update, Vol. 11, Issue 39
  • Winston & Strawn LLP
  • USA
  • October 24 2016

In this edition, we discuss at length two recent developments in the area of bank regulation: first, the D.C. Circuit’s decision that the structure of


Lack of knowledge removes control person liability but imputed knowledge raises Rule 10b-5 liability
  • Winston & Strawn LLP
  • USA
  • February 25 2013

On February 22nd, the Third Circuit partially reinstated securities fraud and state law unfair trading practices claims asserted by investors against