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Financial services update, vol. 10, issue 36
  • Winston & Strawn LLP
  • United Kingdom, USA
  • October 19 2015

From time to time, financial institutions that file suspicious activity reports (SARs) with the Financial Crimes Enforcement Network (FinCEN) in the


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


Short selling recidivist gets one-year ban on secondary market deals
  • Winston & Strawn LLP
  • USA
  • October 14 2015

On October 14, 2015, the Securities and Exchange Commission announced enforcement actions against several firms, including more than $2.5 million in


Judge in SEC enforcement action puts brakes on settlement deal with IBM over alleged bribes to Chinese officials
  • Winston & Strawn LLP
  • USA
  • January 14 2013

Despite the agreement of the parties, Judge Leon (U.S. District Judge in the District of Columbia circuit) refused to approve the settlement


SEC charges U.S. pharmaceutical Eli Lilly over alleged bribes made by subsidiaries in Russia, Brazil, China, and Poland
  • Winston & Strawn LLP
  • USA
  • January 14 2013

SEC charges U.S. pharmaceutical Eli Lilly over alleged bribes made by subsidiaries in Russia, Brazil, China, and Poland. - The Associate Director of


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


Financial services update October 6 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • October 6 2014

On October 2nd, the Supreme Court granted certiorari to consider whether a claim that 401(k) plan fiduciaries breached their duty of prudence by


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 May 14 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • May 14 2014

On May 8th, a U.S. District Court held that the chief risk officer of an insurance company could sue her employer for violations of the