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Financial services update vol. 10, issue 16
  • Winston & Strawn LLP
  • USA
  • April 27 2015

On March 25, the Securities and Exchange Commission ("SEC") adopted final amendments to Regulation A and other rules and forms, as required by Title


Financial services update vol. 10, issue 14
  • Winston & Strawn LLP
  • USA
  • April 13 2015

In the field of financial services regulation, you may be forgiven for not having recognized the stimulating connections here. The Federal Reserve's


Financial services update Vol. 10, Issue 11
  • Winston & Strawn LLP
  • European Union, USA
  • March 23 2015

This edition focuses on corporate governance and its Related Issues. In particular, academics from the School of Accountancy at Singapore Management


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


The U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) fines Oppenheimer & Co. Inc. (“Oppenheimer”) US $20 million for “willfully violating” the Bank Secrecy Act
  • Winston & Strawn LLP
  • USA
  • February 6 2015

Oppenheimer admitted that it failed to implement an adequate anti-money laundering program and failed to conduct due diligence on a foreign


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 December 15 2014 feature: anti-money laundering developments
  • Winston & Strawn LLP
  • USA
  • December 15 2014

The Federal Financial Institutions Examination Council ("FFIEC") recently released the revised "Bank Secrecy ActAnti-Money Laundering (BSAAML


Financial services update December 15 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 15 2014

On December 12th, the Second Circuit addressed an issue of first impression for that court, whether 28 U.S.C. Section 1782, which authorizes federal


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

On November 4th, a U.S. District Court partially granted Allergan's motion for a preliminary injunction. Allergan seeks to enjoin defendants from


Financial services update September 29 2014 industry news
  • Winston & Strawn LLP
  • USA
  • September 29 2014

On September 25th, Dealbook detailed how lenders of sub-prime auto loans are installing disabling devices which allow them to make a car undrivable