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Results: 1-10 of 532

Court dismisses improper identification case brought by Barclays trader
  • Winston & Strawn LLP
  • United Kingdom
  • January 20 2016

On 12 January 2016, the Upper Tribunal Tax And Chancery Chamber (the Tribunal) dismissed an application brought by Mr Christopher Ashton, a former


Financial services update February 9 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 9 2015

On February 4th, the First Circuit affirmed the dismissal of a shareholder derivative suit alleging that Smith & Wesson made misleading statements


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


Supreme Court grants certiorari in Sarbanes-Oxley whistleblower matter
  • Winston & Strawn LLP
  • USA
  • June 3 2013

On May 20th, the Supreme Court granted certiorari to address whether an employee of a privately-held contractor or subcontractor of a public company


Financial services update September 15 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • September 15 2014

Dow and several foreign banks created partnerships that generated over one billion dollars in tax deductions for Dow. The partnerships allocated the


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 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


Sarbanes-Oxley whistleblower protections do not apply to media disclosures
  • Winston & Strawn LLP
  • USA
  • May 9 2011

On May 3rd, the Ninth Circuit held that the whistleblower protection provisions of the Sarbanes-Oxley Act apply only when employees disclose protected information to a federal regulatory or law enforcement agency, Congress, or the employee's supervisors


SLUSA's state-actions exception
  • Winston & Strawn LLP
  • USA
  • February 8 2010

On February 3rd, the Sixth Circuit, in an opinion written by retired Associate Supreme Court Justice Sandra Day O'Connor (sitting by designation), strictly construed the state-actions exception to the Securities Litigation Uniform Standards Act("SLUSA"


Independent consultant reports required by SEC consent decrees are private
  • Winston & Strawn LLP
  • USA
  • February 4 2013

On February 1st, the D.C. Circuit reversed a district court order that would have given a reporter access to an independent consultant's reports