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Lewis Gavin Lee

Lewis Gavin Lee

Morrison & Foerster LLP


Latest Publications

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Structured Thoughts -- Volume 4, Issue 5 -- April 12, 2013

In This Issue: FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud. Excerpt from...more

4/15/2013 - Broker-Dealer Distribution Rules Financial Conduct Authority FINRA FSMA Gramm-Leach-Blilely Act Product Intervention Rules Public Communications Regulation R Structured Financial Products

The FSA and ESMA Get Technical on Prospectuses

The Prospectus Directive (the “PD”) and the Prospectus Directive Regulation (the “PD Regulation”) were recently amended, in each case with effect from 1 July 2012. These new rules introduced a number of significant changes...more

3/21/2013 - Disclosure Requirements ESMA EU Financial Services Authority Prospectus Risk Assessment

Out of the Shadows and Into the Light

For the last four years, regulators and law makers have been focusing extraordinary efforts on ensuring that financial regulation is adequate to protect the financial system from risks emanating from the banking sector....more

12/28/2012 - Basel III EU European Commission FSB Money Market Funds Securitization Shadow Banking

Structured Thoughts -- Volume 3, Issue 14 -- December 18, 2012

In This Issue: Dividend Adjustments on the Way; Federal Court Decision Supports Use of “Big-Boy Letters”; FINRA Updates Its Suitability Questions and Answers; FINRA Rule 5123 Excludes Some, But Not All, Options;...more

12/19/2012 - Big-Boy Letters Commodity Pool Dividends ETFs FINRA Fiscal Cliff GFMA

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