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Financial services update, vol. 11, issue 5
  • Winston & Strawn LLP
  • USA
  • February 8 2016

Among the instruments that EU lawmakers have passed to pave the way of the Banking Union, the Directive on Deposit Guarantee Schemes (“DGS”


Financial services update, vol. 11, issue 4
  • Winston & Strawn LLP
  • USA
  • February 1 2016

Following the SEC’s announcement earlier in January of its examination priorities for 2016, SEC Chair Mary Jo White last week discussed the SEC’s


Financial services update, vol. 11, issue 3
  • Winston & Strawn LLP
  • USA
  • January 25 2016

As 2016 begins, the examination priorities (“Examination Priorities”) released by the Financial Industry Regulatory Authority (“FINRA”) on January


Financial services update, vol. 11, issue 2
  • Winston & Strawn LLP
  • Global, USA
  • January 19 2016

At a speech to the Asian Financial Forum, in Hong Kong, on January 18, 2016, the European Securities and Markets Authority Chair, Steven Maijoor


Financial services update, vol. 11, issue 1
  • Winston & Strawn LLP
  • USA
  • January 11 2016

On December 30, 2015, the U. S. District Court for the Central District of California denied a motion for judgment on the pleadings filed by CashCall


Financial services update, vol. 10, issue 44
  • Winston & Strawn LLP
  • United Kingdom, USA
  • December 21 2015

On December 3, the Consumer Financial Protection Bureau (CFPB) issued its Second Credit Card Accountability, Responsibility, and Disclosure Act of


Financial services update, vol. 10, issue 43
  • Winston & Strawn LLP
  • USA
  • December 14 2015

At its December 11th Open Meeting, the SEC voted to propose new rules under the Investment Company Act of 1940 (as amended, the “40 Act”) that would


Financial services update, vol. 10, issue 42
  • Winston & Strawn LLP
  • Global, USA
  • December 7 2015

The Board of Governors of the Federal Reserve System (“FRB”) was recently examined by the FRB’s Office of Inspector General (“OIG”) particularly with


Financial services update, vol. 10, issue 41
  • Winston & Strawn LLP
  • USA
  • November 23 2015

On Thursday, November 19, 2015, the SEC entered into a settlement with Sands Brothers Asset Management LLC (“Sands Brothers” or the “firm”), its


Financial services update, vol. 10, issue 40
  • Winston & Strawn LLP
  • European Union, USA
  • November 16 2015

An SEC Risk Alert published on November 9, 2015, by the Office of Compliance Inspections and Examinations (OCIE) highlighted the risks associated