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Results: 11-20 of 1,897

Financial services update, vol. 10, issue 42
  • Winston & Strawn LLP
  • Global, USA
  • December 7 2015

The Board of Governors of the Federal Reserve System (“FRB”) was recently examined by the FRB’s Office of Inspector General (“OIG”) particularly with


Financial services update, vol. 10, issue 41
  • Winston & Strawn LLP
  • USA
  • November 23 2015

On Thursday, November 19, 2015, the SEC entered into a settlement with Sands Brothers Asset Management LLC (“Sands Brothers” or the “firm”), its


Financial services update, vol. 10, issue 40
  • Winston & Strawn LLP
  • European Union, USA
  • November 16 2015

An SEC Risk Alert published on November 9, 2015, by the Office of Compliance Inspections and Examinations (OCIE) highlighted the risks associated


US: Two former Rabobank traders convicted of fraud arising out of LIBOR investigations
  • Winston & Strawn LLP
  • USA
  • November 11 2015

On 5 November 2015, Anthony Allen, Rabobank's former Global Head of Liquidity and Finance, and Anthony Conti, a former senior trader, were found


Financial services update, vol. 10, issue 39
  • Winston & Strawn LLP
  • USA
  • November 9 2015

The concept of expanding access to capital for small and medium-size businesses and allowing ordinary investors access to invest in such businesses


Guidance on false hit lists as a compliance tool in international transactions
  • Winston & Strawn LLP
  • USA
  • November 3 2015

On October 21, 2015 the U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) announced new guidance on the use of "false hit


Financial services update, vol. 10, issue 38
  • Winston & Strawn LLP
  • USA
  • November 2 2015

At its Open Meeting on October 30th, the SEC approved a final rule to permit the offer and sale of securities through crowdfunding under Title III of


Financial services update, vol. 10, issue 37
  • Winston & Strawn LLP
  • USA
  • October 26 2015

At a speech to the Managed Funds Association’s Outlook 2015 conference on October 16th, Chairman Mary Jo White focused on the increased transparency


Financial services update, vol. 10, issue 36
  • Winston & Strawn LLP
  • United Kingdom, USA
  • October 19 2015

From time to time, financial institutions that file suspicious activity reports (SARs) with the Financial Crimes Enforcement Network (FinCEN) in the


Financial services update vol. 10, issue 35
  • Winston & Strawn LLP
  • USA
  • October 12 2015

In a closely watched decision, last week the Supreme Court dealt a blow to the Government’s aggressive efforts to prosecute insider trading by