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Results: 1-10 of 537

Financial services update Vol. 10, Issue 9
  • Winston & Strawn LLP
  • European Union, USA
  • March 9 2015

I recently had the opportunity to invest in individual shortterm real estate loans. Having devoted my current liquidity to a real estate


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


SEC announces enforcement results for fiscal 2015 in wake of insider trading setback
  • Winston & Strawn LLP
  • USA
  • October 23 2015

On October 22, 2015, the Securities and Exchange Commission (SEC) announced that in fiscal year 2015 (ending September 30), the Enforcement Division


Financial Services Update, Vol. 11, no. 14
  • Winston & Strawn LLP
  • OECD, USA
  • April 11 2016

On April 7th, the Securities and Exchange Commission ("SEC") approvedthe Financial Industry Regulatory Authority's ("FINRA") proposed amendment to


Exceptions to Section 16(b)'s requirement that short-swing profits be disgorged
  • Winston & Strawn LLP
  • USA
  • June 11 2012

On June 4th, the Court of Appeals for the Second Circuit addressed the previously acquired debt and the borderline exceptions to the application of strict liability requirement under Section 16(b) of the 1934 Act that statutory insiders disgorge short-swing profits


No evidence of gun manufacturer's scienter presented in 10b-5 claim
  • Winston & Strawn LLP
  • USA
  • February 21 2012

On February 17th, the First Circuit affirmed the entry of summary judgment dismissing plaintiffs' Rule 10b-5 securities fraud claims


Financial services update, vol. 11, issue 6
  • Winston & Strawn LLP
  • USA
  • February 16 2016

On February 10, 2016, U.S. District Judge Rosemary Collyer of the District of Columbia denied the Justice Department’s motion to dismiss a lawsuit


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 vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


"Delaware carve-out" does not exempt mutual fund shareholders' lawsuit from SLUSA
  • Winston & Strawn LLP
  • USA
  • September 12 2011

On September 8th, the Sixth Circuit affirmed the dismissal of a state-law class action filed by mutual-fund shareholders against various fund affiliates