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Financial Services Update, Vol. 11, Issue 35
  • Winston & Strawn LLP
  • USA
  • September 26 2016

The Securities and Exchange Commission’s (“SEC”) Office of Compliance, Inspections and Examinations (“OCIE”) issued a Risk Alert on September 12th


Financial Services Update, Vol. 11, Issue 34
  • Winston & Strawn LLP
  • USA
  • September 19 2016

A federal court recently granted the Consumer Financial Protection Bureau (CFPB) summary judgment regarding liability against CashCall, Inc., its


Financial Services Update, vol. 11, no. 32
  • Winston & Strawn LLP
  • USA
  • August 29 2016

Last Monday, August 22, was the final day for comments to be filed by the public on the Consumer Financial Protection Bureau’s (CFPB) proposed rule


Financial Services Update, vol. 11, no. 31
  • Winston & Strawn LLP
  • USA
  • August 22 2016

While political gridlock in Washington has caused the well-known stalemate over filling the presently vacant U.S. Supreme Court seat, it has also


Financial Services Update, vol. 11, no. 30
  • Winston & Strawn LLP
  • USA
  • August 15 2016

Wall Street banks have asked the Federal Reserve Board (“Fed”) to grant them an additional five-year grace period to comply with section 619 of the


Financial Services Update, vol. 11, no. 27
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • July 25 2016

The most dramatic bank regulatory news last week was that the Republican National Committee 2016 platform was amended to include a plank calling for


Financial Services Update, vol. 11, no. 25
  • Winston & Strawn LLP
  • USA
  • July 11 2016

The Securities and Exchange Commission (“SEC”) was busy on June 28, 2016, proposing rules and making announcements that, if ratified, will


Financial Services Update, vol. 11, no. 22
  • Winston & Strawn LLP
  • Global, USA
  • June 13 2016

A recent SEC Enforcement action, which imposed a $1 million penalty upon the Respondent, a registered broker-dealer and investment adviser, provides


Financial Services Update, vol. 11, no. 21
  • Winston & Strawn LLP
  • USA
  • June 6 2016

Last week, the SEC sent a message to the private equity industry regarding unregistered broker-dealer activity. The SEC charged an SEC-registered


Financial Services Update, vol. 11, no. 20
  • Winston & Strawn LLP
  • USA
  • May 23 2016

Last Friday, in a speech to the National Association of Insurance Commissioners, Daniel Tarullo, one of the Governors of the Federal Reserve Board of