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Results: 1-10 of 202

Financial services update, vol. 11, issue 3
  • Winston & Strawn LLP
  • USA
  • January 25 2016

As 2016 begins, the examination priorities (“Examination Priorities”) released by the Financial Industry Regulatory Authority (“FINRA”) on January


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


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 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


Financial services update vol. 10, issue 34
  • Winston & Strawn LLP
  • USA
  • October 5 2015

On September 29, 2015, SEC Chair Mary Jo White spoke to mark the 75th anniversary of the introduction of the Investment Company Act and the


Financial services update vol. 10, issue 29
  • Winston & Strawn LLP
  • European Union, USA
  • August 24 2015

The United States Treasury Department’s Financial Crimes Enforcement Network (FinCEN) is once again pushing for regulations that would require


Financial services update vol. 10, issue 25
  • Winston & Strawn LLP
  • USA
  • July 27 2015

On July 20, the U. S. Department of the Treasury published a formal Notice and Request for Comment on the subject of expanding access to credit


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. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a