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Results: 1-10 of 95

Financial services update vol. 10, issue 25
  • Winston & Strawn LLP
  • USA
  • July 27 2015

On July 20, the U. S. Department of the Treasury published a formal Notice and Request for Comment on the subject of expanding access to credit


Financial services update vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement


Financial services update vol. 10, issue 23
  • Winston & Strawn LLP
  • USA
  • July 13 2015

On June 29, 2015, the Securities and Exchange Commission (“SEC”) settled an enforcement action against Kohlberg Kravis Roberts & Co., a private


Financial services update vol. 10, issue 22
  • Winston & Strawn LLP
  • Australia, China, USA
  • June 29 2015

China and Australia recently signed the ChinaAustralia Free Trade Agreement (ChAFTA) after ten years of negotiations. Upon full implementation of


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 20
  • Winston & Strawn LLP
  • USA
  • June 1 2015

On May 22, 2015, the Consumer Financial Protection Bureau (CFPB) issued its statutorily mandated semi annual rulemaking agenda. This agenda contains


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 18
  • Winston & Strawn LLP
  • USA
  • May 11 2015

On May 6th, the Securities Exchange Commission ("SEC") approved a proposal by the national securities exchanges and the Financial Industry


Financial services update vol. 10, issue 17
  • Winston & Strawn LLP
  • USA
  • May 4 2015

Last week the staff at the Securities and Exchange Commission ("SEC") Division of Investment Management (the "Division") issued additional guidance


Financial services update vol. 10, issue 16
  • Winston & Strawn LLP
  • USA
  • April 27 2015

On March 25, the Securities and Exchange Commission ("SEC") adopted final amendments to Regulation A and other rules and forms, as required by Title