Jeremy C. Jennings-Mares

Jeremy C. Jennings-Mares

Morrison & Foerster LLP

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Latest Publications


Structured Thoughts: News for the financial services community, Volume 6, Issue 5

OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more

9/1/2015 - Broker-Dealer Compensation Standards Derivatives EDGAR ESA EU Financial Services Industry FINRA Internal Communications IRS Issuers Loss Contingencies NASD OCIE Risk Alert Risk Management SEC Structured Finance Training UK Underwriting

Valuing Derivatives in a Bank Bail-In

Under the EU’s Bank Recovery and Resolution Directive (“BRRD”), one of the key powers given to national resolution authorities is the ability to impose losses on, or “bail-in”, certain financial liabilities of the failing...more

7/23/2015 - Banking Sector BRRD Comment Period Derivatives EU European Banking Authority Exclusions Financial Institution Liability Proposed Regulation Regulatory Standards Valuation

The UK’s Fair and Effective Markets Review

On 10 June 2015, the Bank of England (“BoE”), HM Treasury (“HMT”) and the Financial Conduct Authority (“FCA”) published the final report on the “Fair and Effective Markets Review” which had been launched one year ago with the...more

6/23/2015 - Bank of England Commodities Currency Exchange FCA FICC Financial Conduct Authority Fixed Income Investments UK

Suspension of Contractual Rights of Counterparties to UK Banks

On 26 May 2015, the Prudential Regulation Authority (“PRA”) of the UK issued a consultation paper entitled “Contractual stays in financial contracts governed by third-country law”, proposing a new restriction that would apply...more

6/2/2015 - Banks EU Financial Institutions Financial Stability Acts Insolvency Investment Firms Prudential Regulation Authority UK

Structured Thoughts: News for the financial services community, Volume 6, Issue 3

In This Issue: - The National Senior Investor Initiative - SEC Commissioner Addresses Structured Notes - The SEC Defines “Voting Equity Securities” Under the Rule 506(d) Bad Actor Disqualification...more

5/4/2015 - Elder Abuse Elder Issues Financial Services Industry FINRA OCIE Rule 506(d) SEC Structured Financial Products

Difficulty in Understanding? ESMA Consultation Paper on Complex Debt Instruments and Structured Deposits

On 24 March 2015, the European Securities and Markets Authority (ESMA) published a Consultation Paper setting out draft guidelines on complex debt instruments and structured deposits. Background - The...more

3/31/2015 - Complex Financial Products Deposit Accounts ESMA EU MiFID

Structured Thoughts - Volume 6 , Issue 2 - March 2015

In This Issue: - FCA Publishes Thematic Review on Structured Product Development and Governance - EU Commission Review of Prospectus Directive - SEC Issues Investor Bulletin Relating to Structured Notes -...more

3/16/2015 - Canada EU European Commission False Claims Act FCA FINRA Prospectus SEC Structured Financial Products Toronto Stock Exchange

A European Prospectus Revolution?

The EU prospectus regime, based on Directive 2003/71/EC (the “Prospective Directive”) as amended, has been in place now for nearly 10 years and was due to be reviewed by the European Commission by 1 January 2016. However, the...more

2/24/2015 - Capital Markets EU European Commission Funding Prospectus Startups Venture Funding

Structured Thoughts - Volume 6 , Issue 1 - January 26 , 2015

In This Issue: - FINRA Releases 2015 Regulatory and Exam Priorities Letter: Structured Products Remain an Area of Focus - OCIE Exam Priorities: 2015 - In Re: TVIX Securities Litigation - Second...more

1/27/2015 - Basel III Credit Suisse ESMA Examination Priorities Exchange-Traded Products FINRA FSB G-SIB MiFID OCC OCIE Securities Securities Litigation Structured Financial Products

From EMIR to Eternity? - The EU Financial Regulatory Agenda Into 2015 and Beyond

2014 was a very active year for financial regulation in the European Union (EU). There was a push to finalise much of the outstanding primary legislation on the regulatory reform agenda in advance of the European...more

1/7/2015 - EMIR EU European Commission Financial Regulatory Reform

Safe to Fail?

On 10 November 2014, the Financial Stability Board (FSB) launched a consultation1 on the adequacy of the loss-absorbing capacity of global systemically important banks (G-SIBs) in resolution. The Basel III minimum capital...more

12/8/2014 - Banks Basel III Capital Requirements FSB G-SIB

Structured Thoughts: Volume 5, Issue 8 - December 2014

In This Issue: - Key Regulators Speak at Structured Products Conference - FINRA Shows Its CARDS; It Will Use Big Data to Review Suitability of Complex Products Sales - FINRA’s Proposed Bond Mark-up...more

12/2/2014 - Advertising Big Data Broker-Dealer CARDS Disclosure Requirements Exchange-Traded Products FINRA Regulatory Agenda Regulatory Standards SEC Structured Financial Products

Structured Thoughts: Volume 5, Issue 7 - November 11, 2014

In This Issue: - Index Changes and Successor Indices: Avoiding Delisting From The NYSE Arca - EU PRIIPS Regulation Expected to Come Into Force - UK Review of the Fixed Income, Currency and Commodities...more

11/12/2014 - ETNs EU Financial Regulatory Reform FINRA NYSE SEC Structured Financial Products UK

Clearing Derivative Transactions in the EU: What You Need To Know

Key Highlights: ..All counterparties within scope of the European Market Infrastructure Regulation (“EMIR”) and subject to the clearing obligation will soon be required to centrally clear their applicable derivatives...more

10/16/2014 - Derivatives Derivatives Clearing Organizations EMIR ESMA EU

UK Banking: Ringing in the Changes

It has been three years since the Independent Commission on Banking (the “IBC”), chaired by Sir John Vickers, published its final report and recommendations on the reform of the UK banking system in response to lessons learnt...more

10/15/2014 - Banking Reform Banking Sector Banks EEA Prudential Regulation Authority Ring-Fencing UK

Relief for Covered Bonds as ESMA refines the Clearing Obligation

On August 16, 2012, the European Market Infrastructure Regulation (“EMIR”) came into force, defining the obligations of in-scope entities, amongst other things, to (1) centrally clear certain over the counter derivatives...more

9/3/2014 - CCPs Covered Bonds Derivatives Clearing Organizations EMIR ESMA

Structured Thoughts: Volume 5, Issue 6 - August 2014

In This Issue: - European Product Intervention - FINRA Speaks at 2014 Structured Retail Products Conference - FINRA Approves Amendments to Communication Rules – Relief from Filing for Certain...more

8/13/2014 - Class Action ESMA EU FINRA Investment Funds MiFID Retailers Structured Financial Products

CoCo No-Go for Ordinary Joe

The UK’s Financial Conduct Authority, on 5 August 2014, announced the introduction of new temporary product intervention rules in relation to the retail distribution of contingent convertible instruments (CoCos). The...more

8/11/2014 - FCA Financial Regulatory Reform UK

Structured Thoughts: Volume 5, Issue 4 - May 30, 2014

In This Issue: - No More KIDding Around: European Parliament Approves PRIIPs Regulation - FINRA Amends Rule 5110 to Exempt Certain Collective Investment Vehicles from Its Filing Requirements - The Time for the...more

7/15/2014 - Compliance EU Financial Regulatory Reform FINRA Foreign Investment Investors SEC

Breaking the ISDA Section 2(a)(iii) Insolvency Stalemate

On 19 June 2014, the International Swaps and Derivatives Association (“ISDA”) published an amendment to the ISDA Master Agreement for use in relation to section 2(a)(iii) of that agreement, for parties who wish to amend their...more

7/2/2014 - Default Derivatives ISDA ISDA Master Agreement OTC

Structured Thoughts: Volume 5, Issue 5 - June 25, 2014

In This Issue: - The 1996 Morgan Stanley Letter: Re-imagined at the Age of 18 - Structured CDs – Goodbye Regulation DD, Hello Regulation DD - FCA Issues Fine in Relation to Structured Product...more

6/26/2014 - Banks Disclosure Requirements EDGAR ESMA Financial Products IPO Morgan Stanley Public Disclosure Regulation D SEC Securities Truth in Savings Act

Collateralising Uncleared Derivatives Trades under EMIR – Draft Regulatory Technical Standards

On April 14, 2014, the European Supervisory Authorities (“ESAs”) published the anticipated first draft regulatory technical standards (“RTS”) on risk-mitigation techniques for over the counter (“OTC”) derivatives contracts...more

5/13/2014 - Basel Committee Derivatives EMIR ESA EU IOSCO OTC Security-Based Swaps Swaps

MIFID II: Widening the net - Recently announced EU reforms introduce yet another set of compliance considerations for traders, and...

On January 14 2014, the European Parliament and European Council reached agreement in principle on the revised Markets in Financial Instrument Directive (Mifid II). The announcement signaled an important milestone in a long...more

2/24/2014 - EU European Commission Financial Regulatory Reform MiFID

Structured Thoughts: Volume 5, Issue 2 - February 20, 2014

In This Issue: Opinions and Warnings – ESMA’s Views on Complex Products; SEC Releases Draft Strategic Plan; Distributing Structured Notes from a Regulation S Platform; and Non-U.S. Equity Underliers and Exchange Rate...more

2/21/2014 - Complex Financial Products Compliance ESMA EU Financial Regulatory Reform SEC

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