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784 results found

Analysis PRO In-house

PRO Compliance | Global, USA | 3 Nov 2020

SEC has record enforcement year despite pandemic challenges

The agency’s annual report highlights its record enforcement numbers, its likely response to a Supreme Court ruling limiting its disgorgement powers, a significant uptick in whistleblower payouts and the agency’s first virtual trial amid the coronavirus pandemic.
Analysis PRO In-house

PRO Compliance | USA | 8 Oct 2020

Citibank slapped with multi-million dollar fine over compliance failures

A US banking regulator has handed Citibank a $400 million penalty over “unsafe or unsound” banking practices.
Analysis PRO In-house

PRO Compliance | Egypt, European Union, Global, etc. | 4 Aug 2020

Financial crime: How non-banks can ensure compliance with growing regulatory obligations

Samantha Gilbert looks at the obligations on non-financial businesses and non-banks in financial crime regulations around the world, and analyses how compliance teams can ensure they are meeting them.
Article

Cozen O'Connor | USA | 2 Mar 2020

New Jersey Assembly Overwhelmingly Approves Anti-STOLI Legislation

As many of you may know, Cozen O’Connor was victorious last year in obtaining a ruling by the New Jersey Supreme Court in Sun Life Assurance Company…
Article

Paul, Weiss, Rifkind, Wharton & Garrison LLP | USA | 24 Feb 2020

Wells Fargo Reaches Resolutions with DOJ and SEC for $3 Billion, Agrees to a Deferred Prosecution Agreement

On February 21, 2020, Wells Fargo & Company and its subsidiary, Wells Fargo Bank, N.A. (collectively, “Wells Fargo”), entered into resolutions with…
Article PRO In-house

Paul, Weiss, Rifkind, Wharton & Garrison LLP | USA | 24 Feb 2020

Wells Fargo Reaches Resolutions with DOJ and SEC for $3 Billion, Agrees to a Deferred Prosecution Agreement

On February 21, 2020, Wells Fargo & Company and its subsidiary, Wells Fargo Bank, N.A. (collectively, “Wells Fargo”), entered into resolutions with…
Article

Robins Kaplan LLP | USA | 24 Feb 2020

Financial Daily Dose 2.24.2020 | Top Story: Wells Fargo to Pay $3 Billion to Resolve DOJ and SEC Investigations

Wells Fargo & Co. agreed to pay a total of $3 billion to resolve criminal and civil investigations by the DOJ and SEC. Wells Fargo admitted “that it…
Article

Paul, Weiss, Rifkind, Wharton & Garrison LLP | USA | 28 Jan 2020

OCC Takes Unprecedented Enforcement Actions Against Eight Former Wells Fargo Executives, Including the Former Chairman & CEO, Head of the Bank, General Counsel, and Risk and Audit Executives

As the latest chapter in the aftermath of the Wells Fargo fake accounts scandal, on January 23, 2020, the Office of the Comptroller of the Currency…
Article

Jenner & Block LLP | USA | 11 Nov 2019

Texas Jury Awards $200 Million In Mobile Banking Patent Dispute

On November 6, a jury in the Eastern District of Texas awarded the United Services Automobile Association (USAA) a $200 million verdict finding that…
Article

Ellis & Winters LLP | USA | 21 Aug 2019

Do Treble Damages Count toward the Amount in Controversy for Federal Jurisdiction?

This post concerns an intriguing question of civil procedure. We wrote a few years ago about whether the trebling feature in N.C. Gen. Stat. § 75-16…
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