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Financial services update August 4 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • August 4 2014

On July 31st, the Second Circuit reversed and remanded the dismissal of a securities fraud complaint. Plaintiffs allege defendants made material


Financial services update December 8 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 8 2014

On December 2, the D.C. Circuit affirmed the lifetime industry bar the SEC imposed against petitioner Peter Siris. The SEC issued the bar order


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

On December 12th, the Second Circuit addressed an issue of first impression for that court, whether 28 U.S.C. Section 1782, which authorizes federal


Interesting case illustrating the benefits of Rule 10b5-1 trading plans
  • Winston & Strawn LLP
  • USA
  • April 7 2014

We have written extensively on Rule 10b5-1 trading plans in the last 12 months (and 10 years). However, the courts have not issued an extensive


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


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


Financial services update vol. 10, issue 14
  • Winston & Strawn LLP
  • USA
  • April 13 2015

In the field of financial services regulation, you may be forgiven for not having recognized the stimulating connections here. The Federal Reserve's


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


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


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