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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’


Follow-Up on Litigation Over Non-Employee Director Stock Awards
  • Winston & Strawn LLP
  • USA
  • April 10 2017

There have not been many new developments on this topic for a while, but I wanted to reassure readers that courts are upholding directors’ decisions


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. 12, Issue 8
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • February 27 2017

Dodd-Frank Act reform was one of President Trump’s campaign promises, as he considered it a restraint on credit availability and, thus, a drag on


Financial services update, vol. 11, issue 1
  • Winston & Strawn LLP
  • USA
  • January 11 2016

On December 30, 2015, the U. S. District Court for the Central District of California denied a motion for judgment on the pleadings filed by CashCall


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


SEC appellate brief
  • Winston & Strawn LLP
  • USA
  • November 12 2012

The SEC posted its brief before the Third Circuit in support of a jury's verdict finding that defendants violated the Securities Exchange Act of 1934’s (the "Exchange Act") antifraud and shareholder reporting provisions by intentionally misrepresenting the extent and purpose of their beneficial ownership of shares, and supporting the district court's order to disgorge profits from selling those shares


D.C. Circuit won't hear resource extractor rule challenge
  • Winston & Strawn LLP
  • USA
  • April 29 2013

On April 26th, the D.C. Circuit dismissed a petition seeking to invalidate the SEC's resource extractor disclosure rules. Petitioners brought


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


Separate account administrator isn't ERISA fiduciary
  • Winston & Strawn LLP
  • USA
  • April 22 2013

On April 16th, the Seventh Circuit affirmed the dismissal of a lawsuit that sought to hold American United Life Insurance Co. ("AUL") liable as an