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Financial Services Update, vol. 11, no. 26
  • Winston & Strawn LLP
  • USA
  • July 19 2016

On July 13, 2016, the Securities and Exchange Commission (“SEC”) adopted recent amendments to update its rules regarding administrative proceedings


Debt traders beware: the SEC is watching
  • Winston & Strawn LLP
  • USA
  • May 14 2013

There is a vibrant market in selling all forms of debt, including bank debt, bond debt, and even trade claims. Many believe that the trading of debt


Making it easier to “amend-and-extend” syndicated loan agreements
  • Winston & Strawn LLP
  • USA
  • January 19 2012

A relatively recent development has been appearing with increasing frequency in newly negotiated and completed loan agreements for deals involving a syndicated bank group of two or more lenders


FINRA Regulatory Matters at a Glance: What Compliance Officers Need to Know - May 2016
  • Winston & Strawn LLP
  • USA
  • June 1 2016

Order Audit Trail System (OATS): SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-DealersOrder Audit Trail System


Federal Reserve and Higher One Settle Issues Related to Services Associated with Student Loans
  • Winston & Strawn LLP
  • USA
  • January 7 2016

The private student loan market, over several years, has been the focus of various federal regulatory agencies, including the Consumer Financial


The increasing accountability of compliance officers
  • Winston & Strawn LLP
  • United Kingdom
  • July 22 2015

Recent regulatory investigations in the financial arena have generated headlines for their global scale and for fines measured in their billions of


RESPA private right of action exists for violations not involving overcharges
  • Winston & Strawn LLP
  • USA
  • November 2 2009

On October 28th, the Third Circuit held that a consumer may bring a private right of action for a violation of RESPA section 8 even if the violation did not result in a traditional, monetary injury in the form of an overcharge for mortgage settlement services


Financial Services Update, vol. 11, no. 25
  • Winston & Strawn LLP
  • USA
  • July 11 2016

The Securities and Exchange Commission (“SEC”) was busy on June 28, 2016, proposing rules and making announcements that, if ratified, will


Prohibition against federal assistance to swaps entities
  • Winston & Strawn LLP
  • USA
  • June 10 2013

On June 5th, the Federal Reserve Board approved an interim final rule clarifying the treatment of uninsured U.S. branches and agencies of foreign


Understanding the implications of “no consent” letters issued by the JFIU in Hong Kong
  • Winston & Strawn LLP
  • Hong Kong
  • December 7 2015

"No consent" letters issued by regulators in Hong Kong create concerns and risks for banks in this jurisdiction. A recent Hong Kong High Court