Morrison Foerster is an international law firm with lawyers practicing throughout the United States, Asia, and Europe. Click to discover more.

mofo_share_image.jpg

Morrison Foerster

favicon.ico

favicon-16x16.png

favicon-32x32.png

apple-touch-icon.png

MoFo Favicons

Terms / Notices

Cookies

Privacy Policy

Attorney Advertising

Secure Login

Alumni

  Facebook

MoFo Facebook

  Linkedin

MoFo LinkedIN

Twitter

MoFo Twitter

YouTube

MoFo Youtube

Morrison Foerster - Footer

You have not solved the recaptcha challenge yet or session expired, try again.

Disclaimer

Unsolicited e-mails and information sent to Morrison Foerster will not be considered confidential, may be disclosed to others pursuant to our <a href="https://www.mofo.com/about/privacy-policy.html">Privacy Policy</a>, may not receive a response, and do not create an attorney-client relationship with Morrison Foerster. If you are not already a client of Morrison Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

Feedback

mofo-logo-2022.svg

People

Capabilities

Resources

About

Culture

Offices

Careers

Stay Connected

FINRA Examination Findings and Structured Product Sales; PRIIPs – ESAs' Letter to the European Commission Regarding Guidance on Key Information Documents on Investment Funds

Structured Thoughts: News for the Financial Services Community, Volume 9, Issue 7

About Morrison Forester

people-default-header-desktop.jpg

people-default-header-mobile.jpg

Default Meta Data

In this issue of Structured Thoughts, we discuss:<ul><li>FINRA's December 7, 2018 release of its report describing its examination findings. A number of FINRA’s findings in the report directly relate to the structured products industry, and should be carefully considered by both manufacturers and distributors of these products.</li><li>The European Supervisory Authorities, the European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority published a letter they sent to the European Commission dated October 1, 2018 in relation to KIDs for investment funds. </li></ul>Read our <a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltab0d7192bd7ef9b8/6273ecd85f7b601eaaebe9f1/181210-structured-thoughts-newsletter.pdf" target="_blank">newsletter</a>.

Structured Thoughts: News for the Financial Services Community, Volume 9, Issue 7

Sign Up

Jeremy C. Jennings-Mares

Senior Of Counsel

Corporate Finance | Capital Markets