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Financial services update, vol. 10, issue 39
  • Winston & Strawn LLP
  • USA
  • November 9 2015

The concept of expanding access to capital for small and medium-size businesses and allowing ordinary investors access to invest in such businesses


Financial services update, vol. 10, issue 38
  • Winston & Strawn LLP
  • USA
  • November 2 2015

At its Open Meeting on October 30th, the SEC approved a final rule to permit the offer and sale of securities through crowdfunding under Title III of


Financial services update, vol. 10, issue 37
  • Winston & Strawn LLP
  • USA
  • October 26 2015

At a speech to the Managed Funds Association’s Outlook 2015 conference on October 16th, Chairman Mary Jo White focused on the increased transparency


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 35
  • Winston & Strawn LLP
  • USA
  • October 12 2015

In a closely watched decision, last week the Supreme Court dealt a blow to the Government’s aggressive efforts to prosecute insider trading by


Financial services update vol. 10, issue 33
  • Winston & Strawn LLP
  • USA
  • September 28 2015

On September 15, 2015, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) provided additional


Financial services update vol. 10, issue 30
  • Winston & Strawn LLP
  • USA
  • August 31 2015

As predicted in last week’s Financial Services newsletter, on August 25th, the Department of the Treasury’s Financial Crimes Enforcement Network


Financial services update vol. 10, issue 29
  • Winston & Strawn LLP
  • European Union, USA
  • August 24 2015

The United States Treasury Department’s Financial Crimes Enforcement Network (FinCEN) is once again pushing for regulations that would require


Financial services update vol. 10, issue 28
  • Winston & Strawn LLP
  • USA
  • August 17 2015

On August 10th SEC Commissioner Luis Aguilar issued a statement reiterating the need for published SEC Enforcement orders to include sufficiently


Financial services update vol. 10, issue 27
  • Winston & Strawn LLP
  • USA
  • August 10 2015

On August 5th, the Securities and Exchange Commission ("SEC") adopted a final rule requiring public companies to disclose the ratio of the