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Results: 1-10 of 364

Financial services update vol. 10, issue 20
  • Winston & Strawn LLP
  • USA
  • June 1 2015

On May 22, 2015, the Consumer Financial Protection Bureau (CFPB) issued its statutorily mandated semi annual rulemaking agenda. This agenda contains


The Goodyear Tire & Rubber Co. (“Goodyear”) has agreed to pay US$16.2 million in settlement to the United States Securities and Exchange Commission (“SEC”) for violations of the FCPA
  • Winston & Strawn LLP
  • USA
  • March 11 2015

On 24 February 2015, Goodyear entered a Cease-and-Desist Order (the "Order") which referred to the SEC's acceptance of Goodyear's settlement offer


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


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 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 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


US: SEC Director of Enforcement delivers speech focusing on compliance officers
  • Winston & Strawn LLP
  • USA
  • December 1 2015

On 4 November 2015, Andrew Ceresney, Director of the SEC's Enforcement Division, delivered a speech that focused on the following areas: recent cases


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


US: SEC Director sets out areas of focus on FCPA enforcement
  • Winston & Strawn LLP
  • USA
  • December 1 2015

On 19 November 2015, Andrew Ceresney, Director of the Securities and Exchange Commission (SEC)'s Enforcement division, delivered a speech in which he


FinCEN proposes BSA and AML duties for investment advisers
  • Winston & Strawn LLP
  • USA
  • August 29 2015

As we suggested in our recent weekly Financial Services Newsletter, the Financial Crimes Enforcement Network ("FinCEN"), a bureau of the Department