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Structured Thoughts:
News for the financial services community.
Volume 4, Issue 9
In this issue of Structured Thoughts, we examine how the UK’s FCA has restricted the marketing of unregulated collective investment schemes and similar products to retail investors; electronic structured note systems and U.S. securities regulation; and various reminders from the SEC and FINRA.
Lloyd Harmetz and Bradley Berman
6/17/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, Structured Products
Newsletter
Dodd-Frank at 3: The Snail and the Tortoise
Jay Baris, Melissa Beck, Leonard Chanin, Charles Horn, Oliver Ireland, David Kaufman, Kenneth Kohler, David Lynn, Jerry Marlatt, Anna Pinedo, and James Schwartz
6/7/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, Investment Management, New Products, Public Companies Counseling + Compliance, Structured Finance + Securitization
User Guide
Fed Comes to the Rescue: Interim Final Rule for Foreign Banks under Lincoln Amendment
Barbara Mendelson, Charles Horn, David Kaufman, and Marc-Alain Galeazzi
6/6/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Global Offerings
Client Alert
CFPB Fair Lending Guidance for Indirect Auto Lenders – It's Not Just About Cars
Leonard Chanin, Charles Horn, and Matthew Janiga
6/4/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
Now the Fun Begins: FSOC Proposes the First Three Nonbank SIFIs
Charles Horn, Jay Baris, Henry Fields, Oliver Ireland, Barbara Mendelson, Kelley Howes, Robert Putney, Isabelle Sajous, Anna Pinedo, Jeremy Jennings-Mares, and Peter Green
6/4/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
Holistic medicine needed to revive securitisation
International Financial Law Review
Jerry Marlatt and Anna Pinedo
June 2013
Capital Markets, Financial Institutions | Europe, Financial Institutions + Financial Services, Global Offerings, Structured Finance + Securitization
Article
Reprinted with permission.
Use of Social Media for Issuers, Broker-Dealers and Advisers, and Investment Companies
Jay Baris, Anna Pinedo, and David Lynn
5/28/2013
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Public Companies Counseling + Compliance, Social Media
Multimedia
The European Alternative Investment Fund Managers Directive—a non-EU Fund Manager’s Perspective
Jeremy Jennings-Mares, Jay Baris, Afia Fening, Peter Green, Robert Putney, and Isabelle Sajous
5/17/2013
Capital Markets, Financial Institutions | Europe, Financial Institutions + Financial Services, Investment Management
Client Alert
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 8
In this issue of Structured Thoughts, we discuss due diligence procedures for structured note distributors; key issues for Yankee CDs; the SEC and FINRA’s concerns about the sale of certain structured products to senior citizens; the Financial Stability Oversight Council’s 2013 Annual Report; and the SEC’s recent discussion of estimated value.
Charles Horn, Lloyd Harmetz, and Bradley Berman
5/15/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
IOSCO Consultation Report on Financial Benchmarks
Peter Green, Jeremy Jennings-Mares, Bradley Berman, Anna Pinedo, and Lloyd Harmetz
5/6/2013
Banking + Financial Services, Capital Markets, Financial Institutions | Europe, Financial Institutions + Financial Services
Client Alert
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 7
In this issue of Structured Thoughts, we discuss regulating retail structured products and the IOSCO toolkit.
Peter Green, Jeremy Jennings-Mares, Lewis Lee, Lloyd Harmetz, and Anna Pinedo
5/2/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
Compliance by tweet or post
Financier Worldwide
Anna Pinedo and David Lynn
May 2013
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Public Companies Counseling + Compliance, Social Media
Article
MoFo Tax Talk
Volume 6, Issue 1
Thomas Humphreys, David Goett, Remmelt Reigersman, David de Ruig, Meimay Law, Anna Pinedo, and Lloyd Harmetz
4/30/2013
Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, New Products, Structured Products
Newsletter
Structured Thoughts: News for the financial services community
Volume 4, Issue 6
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.
Bradley Berman, Anna Pinedo, and Lloyd Harmetz
4/26/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
U.S. Issuances of Asset-Backed Securities by Non-U.S. Issuers
Melissa Beck, Kenneth Kohler, and Jerry Marlatt
4/24/2013
Banking + Financial Services, Capital Markets, Covered Bonds, Financial Institutions | Europe, Financial Institutions + Financial Services, Global Offerings, Structured Finance + Securitization
Multimedia
SEC and CFTC Issue Identity Theft Rules
Daniel Nathan and Ana-Maria Ignat
4/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
The UK’s Financial Services Act 2012: Some Key Features
Jeremy Jennings-Mares, Peter Green, and Lewis Lee
4/15/2013
Banking + Financial Services, Capital Markets, Financial Institutions | Europe, Financial Institutions + Financial Services
Client Alert
Structured Thoughts:
News for the financial services community.
Volume 4, Issue 5
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.
Anna Pinedo, Lloyd Harmetz, Jeremy Jennings-Mares, Lewis Lee, and Peter Green
4/12/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
The CFTC’s Further No-Action Relief for Operators of Securitization Vehicles that May Constitute Commodity Pools
James Schwartz, Larry Abrams, Chrys Carey, Anna Pinedo, and David Kaufman
4/10/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Finance + Securitization
Client Alert
Federal Reserve Board Approves Final Rules Defining When Significant Nonbank Firms are “Predominantly Engaged in Financial Activities”
Charles Horn, Henry Fields, Peter Green, Oliver Ireland, Jeremy Jennings-Mares, Barbara Mendelson, and Anna Pinedo
4/4/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
Structured Products: Investment Company Act and Investment Advisers Act Considerations
The Review of Securities & Commodities Regulation, Vol. 46 No. 7
Jay Baris and Anna Pinedo
4/3/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Structured Products
Article
The Basel Committee Proposes to Double Down on Counterparty Exposure Limits
Charles Horn, Oliver Ireland, Jeremy Jennings-Mares, Henry Fields, Peter Green, Barbara Mendelson, and Anna Pinedo
4/3/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, Structured Finance + Securitization
Client Alert
Chipping Away at Barriers to Global Financial Services: SEC Staff Addresses Issues for Foreign Broker-Dealers under Rule 15a-6
Hillel Cohn
3/28/2013
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services
Client Alert
The FSA and ESMA Get Technical on Prospectuses
Jeremy Jennings-Mares and Lewis Lee
3/20/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Global Offerings, Structured Products
Client Alert
A European Financial Transaction Tax
Jeremy Jennings-Mares, Peter Green, David Goett, Thomas Humphreys, Trevor James, Anna Pinedo, Remmelt Reigersman, and Sonia Girgis
3/15/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions | Europe, Financial Institutions + Financial Services, Financial Transactions, Financial Transactions | Europe, Structured Products, Taxation | Europe
Client Alert
FINRA Proposes Keeping the 5% Rule on Markups; Also Plans to Revise QIB Standards on Debt Securities
Daniel Nathan
3/6/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Financial Services
Client Alert
Financial Market Utilities: Federal Reserve Proposes Rule on Accounts at Reserve Banks
Henry Fields, Oliver Ireland, Charles Horn, and Barbara Mendelson
3/5/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
A Battle over Collateral
International Financial Law Review
Jerry Marlatt
March 2013
Banking + Financial Services, Capital Markets, Covered Bonds, Debt Offerings + 144A Offerings, Financial Institutions + Financial Services
Article
Reprinted with permission.
Structured Thoughts:
News for the financial services community
Volume 4, Issue 4
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.
Anna Pinedo, Bradley Berman, and Lloyd Harmetz
2/28/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Client Alert, Newsletter
JOBS Act Quick Start
A brief overview of the JOBS Act
International Financial Law Review
Nilene Evans, David Lynn, and Anna Pinedo
February 2013
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Book
Protecting the CCP Egg Basket
Derivatives Week, Vol. XXII, No. 8
Jeremy Jennings-Mares and Peter Green
2/25/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, New Products
Article
Reprinted with permission of Derivatives Intelligence.
FDIC Proposes to Nix Insurance for Dually Payable Deposits—With an Upside and a Nod to International Cooperation
Charles Horn, Barbara Mendelson, Jeremy Jennings-Mares, Craig Fields, Peter Green, Oliver Ireland, Jerry Marlatt, and Anna Pinedo
2/21/2013
Banking + Financial Services, Capital Markets, Debt Offerings + 144A Offerings, Financial Institutions + Financial Services, Global Offerings
Client Alert
Favorable Treatment of Mortgage Loans Under Dodd-Frank: A Comparison
Leonard Chanin, Thomas Noto, and Anna Pinedo
2/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Structured Finance + Securitization
User Guide
Moving from the Academic to the Legislative: House Ways & Means Committee Proposal Would Require Mark to Market for Derivatives and Modify Certain Other Tax Rules Applicable to Financial Instruments
Thomas Humphreys, Remmelt Reigersman, David Goett, and David de Ruig
2/19/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, New Products
Client Alert
FINRA Releases FAQs on its Public Offering Review Process
Nilene Evans
2/12/2013
Capital Markets, Debt Offerings + 144A Offerings, Equity Offerings, IPOs, REITs
Client Alert
Structured Thoughts:
News for the financial services community
Volume 4, Issue 3
Lloyd Harmetz, Anna Pinedo, Charles Horn, and Bradley Berman
2/6/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
Avoiding Armageddon: Resolution Regimes for Central Clearing Counterparties
Peter Green, Jeremy Jennings-Mares, Henry Fields, Charles Horn, Oliver Ireland, Barbara Mendelson, and Anna Pinedo
2/5/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, New Products
Client Alert
Distinctions without a difference for US securities?
International Financial Law Review – International Briefings 2013
Anna Pinedo and James Tanenbaum
February 2013
Capital Markets, New Products, Private Placements + PIPEs
Article
Reprinted with permission.
Structured Products: Keep it simple
International Financial Law Review
Anna Pinedo Glen Rae (Bank of America)
February 2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, New Products, Structured Products
Article
Reprinted with permission.
The Liquidity Coverage Ratio: What It Means for Banks and Their Counterparts
Anna Pinedo
1/31/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, Structured Finance + Securitization
Multimedia
U.S. Structured Product Offerings by Non-U.S. Banks
Lloyd Harmetz, Marissa Golden, Charles Horn, Bradley Berman, and Remmelt Reigersman
1/29/2013
Banking + Financial Services, Capital Markets, Financial Institutions | Europe, Financial Institutions + Financial Services, Global Offerings, Securities Offerings | Europe, Structured Products
Multimedia
MoFo Tax Talk Volume 5, Issue 4
Thomas Humphreys, David Goett, Stephen Feldman, Remmelt Reigersman, David de Ruig, Meimay Law, Anna Pinedo, and Lloyd Harmetz
1/25/2013
Capital Markets, Covered Bonds, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, New Products, Structured Products
Newsletter
Structured Thoughts:
News for the financial services community
Volume 4, Issue 2
Bradley Berman, Peter Green, and Jeremy Jennings-Mares
1/24/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
A Capital Question: How will banks address more stringent capital requirements?
Peter Green, Thomas Humphreys, and Jeremy Jennings-Mares
1/22/2013
Banking + Financial Services, Capital Markets, Debt Offerings + 144A Offerings, Financial Institutions | Europe, Financial Institutions + Financial Services, New Products, Securities Offerings | Europe
Multimedia
OCC Regulations Impacting Bank Note Offerings Become Effective
Bradley Berman and Lloyd Harmetz
1/22/2013
Banking + Financial Services, Capital Markets, Debt Offerings + 144A Offerings, Financial Institutions + Financial Services, Structured Products
Client Alert
SEC Approves New Compensation Committee and Adviser Independence Listing Standards
David Lynn, Lawrence Bard, and Daniel Kahan
1/18/2013
Capital Markets, Corporate Governance, IPOs, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Structured Thoughts:
News for the financial services community
Volume 4, Issue 1
Anna Pinedo, Lloyd Harmetz, and Bradley Berman
1/16/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
Liquidity Coverage Ratio: New Basel Measurement Published
Jeremy Jennings-Mares, Henry Fields, Peter Green, Charles Horn, Oliver Ireland, Jerry Marlatt, Barbara Mendelson, Anna Pinedo, and James Tanenbaum
1/10/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, Structured Finance + Securitization
Client Alert
The Federal Reserve’s Proposed Prudential Regulations for Foreign Banks
Barbara Mendelson, Charles Horn, and Oliver Ireland
1/7/2013
Banking + Financial Services, Capital Markets, Debt Offerings + 144A Offerings, Financial Institutions | Europe, Financial Institutions + Financial Services, Global Offerings
Multimedia
Debt capital markets in the United States: regulatory overview
Capital Markets Multi-Jurisdictional Guide 2013
Practical Law Company
Anna Pinedo and Ze'-ev Eiger
2013
Banking + Financial Services, Capital Markets, Debt Offerings + 144A Offerings, Financial Institutions + Financial Services
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.
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