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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 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 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 March 3 2015 feature: antimoney laundering
  • Winston & Strawn LLP
  • USA
  • March 3 2015

Last Wednesday Andrew Ceresney, the Director of the Securities and Exchange Commission' ("SEC") Division of Enforcement, discussed the culture of


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


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


Felon's alleged disclosure failure brings him back to court
  • Winston & Strawn LLP
  • USA
  • July 23 2012

On July 19th, the U.S. District Court for the District of Columbia allowed the SEC's lawsuit against two former executives of Integral Systems to proceed


Co-director of SEC’s Division of Enforcement, Mr Andrew Ceresney, gives keynote speech at International Conference on Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • November 27 2013

On 19 November 2013, Mr Ceresney gave the keynote address at the Internal Conference on the Foreign Corrupt Practices Act, outlining four priorities


Featured story 27 November 2013
  • Winston & Strawn LLP
  • USA
  • November 27 2013

On 12 November 2013, the SEC announced its first ever deferred prosecution agreement with an individual, former hedge fund administrator Scott


Financial services update September 29 2014 Securities and Exchange Commission
  • Winston & Strawn LLP
  • USA
  • September 29 2014

On September 22nd, the SEC announced an expected award of over $30 million to a whistleblower who provided key original information that led to a