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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


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


Financial Services Update, Vol. 11, Issue 44
  • Winston & Strawn LLP
  • USA
  • December 5 2016

Technological advances have changed the way that people think about and conduct their banking. However, the banking licenses that companies rely on


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


No private right of action under Investment Company Act
  • Winston & Strawn LLP
  • USA
  • August 16 2010

On August 12th, in a case of first impression, the Ninth Circuit Court of Appeals followed the Second Circuit in holding that there is no private cause of action to enforce Section 13(a) of the Investment Company Act of 1940


The SEC continues to file compensation clawback lawsuits even against executives “not at fault”
  • Winston & Strawn LLP
  • USA
  • May 2 2012

I have blogged on this issue previously, so I wanted to update readers on a two more lawsuits recently filed by the SEC under SOX Section 304 - both by the SEC’s Fort Worth, Texas office


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


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


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