Jay B. Gould
Winston & Strawn LLP
Articles
Short selling recidivist gets one-year ban on secondary market deals
USA - October 14 2015 On October 14, 2015, the Securities and Exchange Commission announced enforcement actions against several firms, including more than $2.5 million in…
Financial Services Update, Vol. 12, Issue 17
European Union, United Kingdom, USA - April 24 2017 Among recent financial services regulatory developments, there appear to be at least four worthy of particular note. First, the Consumer Financial…
Financial Services Update, Vol. 14, Issue 1
European Union, United Kingdom, USA - January 7 2019 Unquestionably, 2019 is set to be an exceptional year, especially in the field of financial services. The United Kingdom submitted on 29 March 2017…
SEC Staff Report on the Accredited Investor Definition
USA - December 28 2015 On December 18, 2015, the SEC staff issued a report regarding its first review of the accredited investor definition under the Dodd-Frank Act, which…
Chief Compliance Officers subject to expanding SEC enforcement trend – what “personal liability” means now
USA - April 28 2015 On April 20, 2015, the Securities and Exchange Commission ("SEC") issued a press release announcing an enforcement order (the "Order") reflecting the…
