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Results: 1-10 of 153

Financial Services Update, vol. 11, no. 31
  • Winston & Strawn LLP
  • USA
  • August 22 2016

While political gridlock in Washington has caused the well-known stalemate over filling the presently vacant U.S. Supreme Court seat, it has also


Financial Services Update, vol. 11, no. 30
  • Winston & Strawn LLP
  • USA
  • August 15 2016

Wall Street banks have asked the Federal Reserve Board (“Fed”) to grant them an additional five-year grace period to comply with section 619 of the


Financial Services Update, vol. 11, no. 29
  • Winston & Strawn LLP
  • USA
  • August 8 2016

On August 5, 2016, the Commodity Futures Trading Commission (the “CFTC”) proposed amending certain CFTC regulations relating to the requirement that


Financial Services Update, vol. 11, no. 28
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • August 1 2016

On July 28th, the Consumer Financial Protection Bureau (CFPB) released an “Outline of Proposals under Consideration and Alternatives Considered”


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