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Results: 1-10 of 2,031

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


Financial services update vol. 10, issue 29
  • Winston & Strawn LLP
  • European Union, USA
  • August 24 2015

The United States Treasury Department’s Financial Crimes Enforcement Network (FinCEN) is once again pushing for regulations that would require


SFO to investigate Quindell PLC
  • Winston & Strawn LLP
  • United Kingdom
  • August 18 2015

The SFO has announced that it has opened a formal criminal investigation into business and Accounting practices at Quindell. The SFO has not provided


Hong Kong: The Hong Kong Monetary Authority (“HKMA”) reprimanded and fined State Bank of India’s Hong Kong branch (“SBIHK”) for internal control failures relating to its Anti-Money Laundering and Counter-Terrorist Financing system
  • Winston & Strawn LLP
  • Hong Kong
  • August 18 2015

On 31 July 2015, the HKMA published its Statement of Disciplinary Action against SBIHK for failing to carry out money laundering checks and establish


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


Tracey McDermott (director of supervision, investment, wholesale and specialists at the Financial Conduct Authority (“FCA”)) delivers speech on wholesale conduct risk
  • Winston & Strawn LLP
  • United Kingdom
  • August 18 2015

On 24 July 2015, Ms McDermott delivered a speech at the British Bankers' Association Conference "Wholesale Markets and Risk: FEMR and beyond" in


Financial services update vol. 10, issue 28
  • Winston & Strawn LLP
  • USA
  • August 17 2015

On August 10th SEC Commissioner Luis Aguilar issued a statement reiterating the need for published SEC Enforcement orders to include sufficiently


FCA and PRA publish final rules on Senior Managers Regime (“SMR”), the Certification Regime and the new Conduct Rules
  • Winston & Strawn LLP
  • United Kingdom
  • August 4 2015

On 7 July 2015, the FCA and PRA published final rules regarding the new accountability framework for individuals working in UK banks, building


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


FCA and PRA censure The Co-operative Bank PLC (“Co-op Bank”)
  • Winston & Strawn LLP
  • United Kingdom
  • August 18 2015

On 11 August 2015, following a joint investigation, the FCA and PRA have censured Co-op Bank. The FCA's Final Notice concluded that the Co-op Bank