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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


The Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • May 20 2013

The SEC recently announced two high-profile Foreign Corrupt Practices Act ("FCPA") cases. The first involved the Ralph Lauren Corporation, where the


Ten year officer and director bar affirmed
  • Winston & Strawn LLP
  • USA
  • May 20 2013

On May 14th, the Second Circuit affirmed the ten year officer and director ban imposed against Brent Bankosky, a senior director at Takeda


Financial services update September 29 2014 Securities and Exchange Commission
  • Winston & Strawn LLP
  • USA
  • September 29 2014

On September 22nd, the SEC announced an expected award of over $30 million to a whistleblower who provided key original information that led to a


The U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) fines Oppenheimer & Co. Inc. (“Oppenheimer”) US $20 million for “willfully violating” the Bank Secrecy Act
  • Winston & Strawn LLP
  • USA
  • February 6 2015

Oppenheimer admitted that it failed to implement an adequate anti-money laundering program and failed to conduct due diligence on a foreign


Financial services update January 26 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • January 26 2015

On January 20th, the Third Circuit addressed whether the purchases and sales of securities issued by U.S. companies through U.S. market makers


SEC brings first enforcement action over confidentiality agreement
  • Winston & Strawn LLP
  • USA
  • April 2 2015

On April 1, the Security Exchange Commission (SEC) announced its first enforcement action against a company for using language in employee


Financial services update vol. 10, issue 14
  • Winston & Strawn LLP
  • USA
  • April 13 2015

In the field of financial services regulation, you may be forgiven for not having recognized the stimulating connections here. The Federal Reserve's


Financial services update September 29 2014 industry news
  • Winston & Strawn LLP
  • USA
  • September 29 2014

On September 25th, Dealbook detailed how lenders of sub-prime auto loans are installing disabling devices which allow them to make a car undrivable


Parent liability
  • Winston & Strawn LLP
  • USA
  • January 14 2013

On January 7th, the U.S. District Court denied a motion to dismiss in a federal securities fraud and common law fraud action. Plaintiff seeks to hold