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Financial services update February 24 2014 feature: Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • February 24 2014

The SEC's 2014 priorities include continued, rigorous enforcement of the Foreign Corrupt Practices Act ("FCPA"). As noted by the agency in January, a


Financial services update February 24 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 24 2014

On February 18th, a divided three-judge panel of the Second Circuit held that an insider trading tipper can be required to disgorge all the improper


Hedge fund's general counsel receives Wells Notice
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 14th, Law.com discussed the SEC's decision to inform Robin Roger, general counsel at Harbinger Capital Partners, that she is the target of a possible enforcement action


Firms must disclose business with state sponsors of terrorism
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 11th, Reuters, covering a Financial Times article, reported that the SEC's Division of Corporation Finance has asked U.S. companies to identify their activities in countries that have been designated as state sponsors of terrorism


FinCEN seeks comments on possible customer due diligence obligation
  • Winston & Strawn LLP
  • USA
  • March 5 2012

On February 29th, the Financial Crimes Enforcement Network issued an advanced notice of proposed rulemaking to solicit public comment on questions pertaining to the possible application of an explicit customer due diligence obligation on financial institutions, including a requirement for financial institutions to identify beneficial ownership of their accountholders


Financial services update August 11 2014 industry news
  • Winston & Strawn LLP
  • USA
  • August 11 2014

On August 6th, DealBook summarized the findings of the most recent Cornerstone ResearchStanford Law School report on class action securities fraud


Financial services update August 11 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • August 11 2014

On August 8th, the Ninth Circuit affirmed the dismissal of a securities fraud suit. The court held that the announcement of an investigation


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 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 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