We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 172

Financial Services Update, Vol. 12, Issue 2
  • Winston & Strawn LLP
  • USA
  • January 17 2017

On January 12, 2017, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its


Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities


Financial Services Update, Vol. 11, Issue 45
  • Winston & Strawn LLP
  • United Kingdom, USA
  • December 19 2016

Last week, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) issued a risk alert


Financial Services Update, Vol.11, Issue 45
  • Winston & Strawn LLP
  • USA
  • December 12 2016

Since the Federal Election, much has been written on what the results may mean for reform of bank regulation. Many have suggested that we will see


Financial Services Update, Vol. 11, Issue 44
  • Winston & Strawn LLP
  • USA
  • December 5 2016

Technological advances have changed the way that people think about and conduct their banking. However, the banking licenses that companies rely on


Financial Services Update, Vol. 11, Issue 43
  • Winston & Strawn LLP
  • USA
  • November 21 2016

Legal and regulatory activity in the financial services sector included a number of actions that will be closely watched, including the Securities and


Financial Services Update, Vol. 11, Issue 42
  • Winston & Strawn LLP
  • European Union, USA
  • November 14 2016

Last Tuesday, the election produced surprising and unexpected results with Donald Trump winning the Presidency. Pundits are suggesting many areas


Financial Services Update, Vol. 11, Issue 41
  • Winston & Strawn LLP
  • USA
  • November 7 2016

With the U.S. Presidential election set for Tuesday, November 8, Americans will soon learn who will run the country for the next four years. But


Financial Services Update, Vol. 11, Issue 39
  • Winston & Strawn LLP
  • USA
  • October 24 2016

In this edition, we discuss at length two recent developments in the area of bank regulation: first, the D.C. Circuit’s decision that the structure of


Financial Services Update, Vol. 11, Issue 38
  • Winston & Strawn LLP
  • USA
  • October 17 2016

The SEC announced on October 11th that it filed a record number of enforcement actions in fiscal year 2016. During the fiscal year, which ended