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Financial Services Update, Vol. 12, Issue 6
  • Winston & Strawn LLP
  • USA
  • February 13 2017

The Executive Orders recently passed by President Trump, directing the Secretary of the Treasury to consult with the heads of member agencies of the


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


Class action lawsuits against State Street Corp. survive motions to dismiss
  • Winston & Strawn LLP
  • USA
  • August 8 2011

On August 3rd, the Federal District Court for Massachusetts denied State Street's motions to dismiss consolidated class action lawsuits alleging it violated the securities laws and ERISA


Financial services update Vol. 10, Issue 10
  • Winston & Strawn LLP
  • USA
  • March 16 2015

The U.S. Commodity Future Trading Commission ("CFTC") is holding a public roundtable on Cybersecurity and System Safeguards Testing on Wednesday


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


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


Federal District Court limits Sarbanes-Oxley whistleblower suits
  • Winston & Strawn LLP
  • USA
  • August 1 2011

On July 28th, the Legal Intelligencer summarized the Eastern District Court of Pennsylvania's opinion in Wiest v. Lynch, a Sarbanes-Oxley whistleblower lawsuit in which the Court held that a putative whistleblower must do more than point out financial improprieties


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


Financial Services Update, Vol. 12, Issue 5
  • Winston & Strawn LLP
  • USA
  • February 6 2017

Last Friday, February 3rd, President Trump took formal action toward his stated policy of repealing parts of the Dodd-Frank Wall Street Reform and


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