Thomson Reuters: Business Law Currents
8/14/2013
Article
Reprinted with permission.
In this issue of Structured Thoughts, we examine complex products and conducting a reasonable basis suitability review; guidelines for presenting backtested performance data; IOSCO’s final report on principles for financial benchmarks; the SEC and FINRA’s concerns regarding the sale of complex products to senior citizens; the “retailisation” of structured products in the EU; FINRA’s recent FAQ on TRACE and variable price reofferings; and other timely topics.
8/12/2013
Newsletter
Teleconference
7/11/2013
Multimedia
International Financial Law Review
July/August 2013
Article
Reprinted with permission.
International Financial Law Review
June 2013
Article
Reprinted with permission.
Financier Worldwide
June 2013
Article
In this issue of Structured Thoughts, we discuss regulating retail structured products and the IOSCO toolkit.
5/2/2013
Newsletter
The Business Lawyer, Vol. 68, No. 3
May 2013
Banking + Financial Services,
Capital Markets,
Derivatives + Commodities,
Emerging Companies + Venture Capital,
Equity Offerings,
Financial Institutions + Financial Services,
Investment Management,
IPOs,
Private Placements + PIPEs,
Public Companies Counseling + Compliance,
Securities: Regulatory + Enforcement
Article
Reprinted with permission.
Financier Worldwide
May 2013
Article
In this issue of Structured Thoughts, we discuss FINRA’s guidance on backtested performance data, FINRA Chairman and CEO Rick Ketchum’s recent discussion of structured products, and also provide an update regarding TRACE and Rule 144A securities.
4/26/2013
Newsletter
In this issue of Structured Thoughts, we discuss FINRA’s 2013 communication rules and revisions to MSDAs, Regulation R and bank sales of structured products, and the Financial Conduct Authority’s temporary product intervention rules.
4/12/2013
Newsletter
The Review of Securities & Commodities Regulation, Vol. 46 No. 7
4/3/2013
Article
In this issue of Structured Thoughts we discuss the additional SEC guidance on estimated value disclosures, 2013 OCIE examination priorities and their implications for structured products issuers and dealers, the EITF and the Federal Funds rate, and the FDIC’s proposal to nix insurance for dually payable deposits.
2/28/2013
Client Alert, Newsletter
International Financial Law Review
February 2013
Book
International Financial Law Review – International Briefings 2013
February 2013
Article
Reprinted with permission.
International Financial Law Review
February 2013
Article
Reprinted with permission.
Capital Markets Multi-Jurisdictional Guide 2013
Practical Law Company
2013
Article
© This article was first published in the Capital Markets multi-jurisdictional guide 2013 and is reproduced with the permission of the publisher, Practical Law Company.
Capital Markets Multi-Jurisdictional Guide 2013
Practical Law Company
2013
Article
© This article was first published in the Capital Markets multi-jurisdictional guide 2013 and is reproduced with the permission of the publisher, Practical Law Company.