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Financial Services Update, Vol. 12, Issue 23
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 12 2017

On June 5th, the SEC charged a Utah-based brokerage firm with thousands of violations of Section 17(a) of the Securities Exchange Act of 1934 and

Recent Court Decision Illustrates the Value of a 10b5-1 Plan
  • Winston & Strawn LLP
  • USA
  • June 7 2017

Lyle Roberts makes an interesting point in his 10b-5 Daily Blog in a post titled The Outset of the Fraud, which summarizes a recent federal court

Financial Services Update, Vol. 12, Issue 22
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • June 5 2017

On June 1, in the wake of the Department of Labor’s (“DOL”) announcement that it would not seek to delay further the June 9 effective date of the

Financial Services Update, Vol. 12, Issue 20
  • Winston & Strawn LLP
  • European Union, Ireland, United Kingdom, USA
  • May 15 2017

U.S. financial regulators are tackling one of Wall Street’s biggest concerns by discussing the Volcker Rule. The Volcker Rule governs banks’

Litigation over proxy statement disclosure another update
  • Winston & Strawn LLP
  • USA
  • March 20 2013

As readers know, I have been blogging on the new form of lawsuit over companies' executive compensation disclosures that has appeared in the last

Massachusetts business judgment rule
  • Winston & Strawn LLP
  • USA
  • May 9 2011

On May 6th, the Second Circuit, after receiving answers to certified questions, held that under Massachusetts law, the business judgment rule can be applied to dismiss a derivative complaint prior to a corporation's rejection of the demand that serves as the basis for the suit

Record sentence handed down in Sanders insider dealing case
  • Winston & Strawn LLP
  • United Kingdom
  • July 9 2012

On 19 June 2012 Mr. Justice Simon at Southwark Crown Court sentenced James Sanders, a director of the former UK brokerage firm Blue Index, to four years’ imprisonment after pleading guilty to 10 counts of insider dealing

Financial Services Update, Vol. 11, Issue 39
  • Winston & Strawn LLP
  • USA
  • October 24 2016

In this edition, we discuss at length two recent developments in the area of bank regulation: first, the D.C. Circuit’s decision that the structure of

Financial Services Update, Vol. 11, Issue 38
  • Winston & Strawn LLP
  • USA
  • October 17 2016

The SEC announced on October 11th that it filed a record number of enforcement actions in fiscal year 2016. During the fiscal year, which ended

The US Supreme Court has decided to extend the scope of whistleblower protections available under the 2002 Sarbanes Oxley wall street reform law.
  • Winston & Strawn LLP
  • USA
  • March 11 2014

The Court has recommended that whistleblower protections (which prohibit retaliation against employees who report fraud) should be made available