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Financial Services Update, Vol. 12, Issue 7
  • Winston & Strawn LLP
  • USA
  • February 21 2017

The Securities and Exchange Commission (the “SEC”) filed an action on February 13th in its continued effort to crack down on unregistered brokers. In


Financial Services Update, Vol. 12, Issue 6
  • Winston & Strawn LLP
  • USA
  • February 13 2017

The Executive Orders recently passed by President Trump, directing the Secretary of the Treasury to consult with the heads of member agencies of the


Financial Services Update, Vol. 12, Issue 5
  • Winston & Strawn LLP
  • USA
  • February 6 2017

Last Friday, February 3rd, President Trump took formal action toward his stated policy of repealing parts of the Dodd-Frank Wall Street Reform and


Financial Services, Vol. 12, Issue 4
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • January 30 2017

On January 26, Sen. Sherrod Brown (D-Ohio), a ranking member of the Senate Banking Committee, and Rep. Maxine Waters (D-Calif.), a ranking member of


Financial Services Update, Vol. 12, Issue 3
  • Winston & Strawn LLP
  • Hong Kong, USA
  • January 23 2017

As the Trump administration begins its first full week in the White House, regulatory uncertainty has hit multiple industries. For example, the final


Financial Services Update, Vol. 12, Issue 2
  • Winston & Strawn LLP
  • USA
  • January 17 2017

On January 12, 2017, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its


Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities


CFTC Assesses its Oversight of Registrant’s Cybersecurity Policies
  • Winston & Strawn LLP
  • USA
  • December 27 2016

A performance audit of the U.S. Commodity Futures Trading Commission’s (CFTC) policies and procedures for reviewing CFTC registrant’s cybersecurity


Financial Services Update, Vol. 11, Issue 45
  • Winston & Strawn LLP
  • United Kingdom, USA
  • December 19 2016

Last week, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) issued a risk alert


Financial Services Update, Vol.11, Issue 45
  • Winston & Strawn LLP
  • USA
  • December 12 2016

Since the Federal Election, much has been written on what the results may mean for reform of bank regulation. Many have suggested that we will see