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Results: 1-10 of 394

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


SEC’s interest in valuing fund assets remains inflated
  • Winston & Strawn LLP
  • USA
  • October 5 2015

Today the Securities and Exchange Commission charged Home Loan Servicing Solutions (HLSS) for making material misstatements and for having inadequate


USA: Bank of New York Mellon (BNY Mellon) settles charges that it violated the FCPA with its internship hiring practices
  • Winston & Strawn LLP
  • USA
  • September 4 2015

On 18 August 2015, the SEC found that BNY Mellon had, in an attempt to retain and win business, violated the FCPA by offering internships to family


Financial services update October 13 2014 insights
  • Winston & Strawn LLP
  • USA
  • October 13 2014

The SEC Whistleblower Program, established under the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires the SEC to pay an award to


Second Circuit finds that whistleblower making internal report is still covered by Dodd-Frank whistleblower protections
  • Winston & Strawn LLP
  • USA
  • September 11 2015

In a significant split decision regarding the scope of Dodd-Frank's whistleblower protections, the Second Circuit Court of Appeals has reversed a


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


FLIR Systems, Inc. (“FLIR”) has agreed to pay the United States Securities and Exchange Commission (“SEC”) US $9.5 million in settlement for violations of the FCPA
  • Winston & Strawn LLP
  • USA
  • May 1 2015

On 8 April 2015, FLIR entered a Cease-And-Desist Order (the "Order") which referred to the SEC's acceptance of FLIR's settlement offer. In the Order


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


Illuminating case on the tax effect of forfeitures and clawbacks
  • Winston & Strawn LLP
  • USA
  • March 17 2014

One of the many unresolved issues in the area of compensation clawbacks (in addition to the fact that we don't have SEC rules on Dodd-Frank Act