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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. 10, Issue 11
  • Winston & Strawn LLP
  • European Union, USA
  • March 23 2015

This edition focuses on corporate governance and its Related Issues. In particular, academics from the School of Accountancy at Singapore Management


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


Recent SEC Enforcement Action Highlights General Counsel’s Responsibility for Disclosure of Litigation Contingencies
  • Winston & Strawn LLP
  • USA
  • September 28 2016

The SEC recently filed an enforcement action in federal court accusing RPM International and its general counsel of securities law violations based on


SFC brings first MMT proceedings against listed company and its officers for breach of disclosure requirements under Part XIVA of the Securities and Futures Ordinance
  • Winston & Strawn LLP
  • Hong Kong
  • October 2 2015

On July 22, 2015, the Securities and Futures Commission (SFC) commenced proceedings in the Market Misconduct Tribunal (MMT) against AcrossAsia


Financial Services Update, vol. 11, no. 26
  • Winston & Strawn LLP
  • USA
  • July 19 2016

On July 13, 2016, the Securities and Exchange Commission (“SEC”) adopted recent amendments to update its rules regarding administrative proceedings


Financial services update vol. 10, issue 19
  • Winston & Strawn LLP
  • European Union, USA
  • May 18 2015

Marc Wyatt, Acting Director of the Office of Compliance, Inspections and Examinations ("OCIE") weaved the theme of transparency throughout his


Hong Kong: Revocation of approval to act as responsible officer (RO, i.e. compliance officer) over internal control failures
  • Winston & Strawn LLP
  • Hong Kong
  • September 4 2015

On 13 August 2015, the Hong Kong Securities and Futures Appeals Tribunal (SFAT) published its Reasons for Determination affirming the decision of the


Financial services update vol. 10, issue 34
  • Winston & Strawn LLP
  • USA
  • October 5 2015

On September 29, 2015, SEC Chair Mary Jo White spoke to mark the 75th anniversary of the introduction of the Investment Company Act and the