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Financial services update vol. 10, issue 22
  • Winston & Strawn LLP
  • Australia, China, USA
  • June 29 2015

China and Australia recently signed the ChinaAustralia Free Trade Agreement (ChAFTA) after ten years of negotiations. Upon full implementation of


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


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


Lack of knowledge removes control person liability but imputed knowledge raises Rule 10b-5 liability
  • Winston & Strawn LLP
  • USA
  • February 25 2013

On February 22nd, the Third Circuit partially reinstated securities fraud and state law unfair trading practices claims asserted by investors against


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. 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


Lehman bondholders make end run
  • Winston & Strawn LLP
  • USA
  • April 26 2010

On April 20th, the district court overseeing the Lehman Brothers securities and ERISA litigation refused to stay a significant part of a FINRA arbitration brought by a purchaser of Lehman bonds and filed against Richard S. Fuld Jr., the former CEO and Chairman of Lehman Brothers Holdings, Inc., and its broker-dealer, Lehman Brothers, Inc


Aiding and abetting securities fraud is not a RICO predicate act
  • Winston & Strawn LLP
  • USA
  • July 11 2011

On July 7th, the Second Circuit dismissed Racketeer Influenced and Corrupt Practices Act ("RICO") claims asserted by victims of Bernie Madoff's Ponzi scheme against the banks through which Madoff allegedly conducted his fraud


Justice Department production of documents does not create a SEC FOIA waiver
  • Winston & Strawn LLP
  • USA
  • December 12 2011

On December 9th, the D.C. Circuit upheld the SEC's assertion of exemption 5 to a Freedom of Information Act ("FOIA") request submitted by Williams & Connolly


Variable annuity holder has standing to bring excessive fee claim
  • Winston & Strawn LLP
  • USA
  • October 1 2012

On September 25th, a Federal District Court denied AXA Equitable Life's motion to dismiss