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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


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


Financial Services Update, vol. 11, no. 24
  • Winston & Strawn LLP
  • USA
  • June 27 2016

With the second quarter of 2016 coming to a close, investment advisers should consider certain mid-year compliance items. A brief summary of certain


Financial Services Update, vol. 11, no. 23
  • Winston & Strawn LLP
  • USA
  • June 20 2016

The Securities and Exchange Commission ("SEC") charged fund administrator Apex Fund Services (US), Inc. ("Apex"), with failure to heed red flags and


Financial Services Update, vol. 11, no. 22
  • Winston & Strawn LLP
  • Global, USA
  • June 13 2016

A recent SEC Enforcement action, which imposed a $1 million penalty upon the Respondent, a registered broker-dealer and investment adviser, provides


Financial Services Update, vol. 11, no. 21
  • Winston & Strawn LLP
  • USA
  • June 6 2016

Last week, the SEC sent a message to the private equity industry regarding unregistered broker-dealer activity. The SEC charged an SEC-registered


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


Financial Services Update, vol. 11, no. 20
  • Winston & Strawn LLP
  • USA
  • May 23 2016

Last Friday, in a speech to the National Association of Insurance Commissioners, Daniel Tarullo, one of the Governors of the Federal Reserve Board of


Financial Services Update, vol.11, no.19
  • Winston & Strawn LLP
  • USA
  • May 16 2016

Pursuant to the Dodd-Frank Act, the Consumer Financial Protection Bureau (“CFPB”) is required to study companies’ use of arbitration agreements


Financial Services Update, Vol. 11, no. 18
  • Winston & Strawn LLP
  • Global, USA
  • May 9 2016

At the end of 2015, President Obama signed into law the Fixing America’s Surface Transportation (FAST) Act (the “FAST Act”). This law amended a