In This Issue: UK’s FCA Restricts Marketing of Unregulated Collective Investment Schemes and Similar Products to Retail Investors; Electronic Structured Note Systems and U.S. Securities Regulation; and Reminders from...more
6/18/2013 - Brokers False Claims Act Financial Conduct Authority Financial Services Authority FINRA Investors SEC Structured Financial Products Term Sheets UCITS
In This Issue: Due Diligence Procedures for Structured Note Distributors; Key Issues for Yankee CDs; The SEC and FINRA: Protect Your Elders; The FSOC’s 2013 Annual Report: Increasing Exchange-Traded Product Activity;...more
5/16/2013 - Broker-Dealer Due Diligence Elder Issues FINRA FSOC SEC Structured Financial Products
In This Issue: Additional SEC Guidance on Estimated Value Disclosures; 2013 OCIE Examination Priorities Have Implications for Structured Products Issuers and Dealers; EITF and the Federal Funds Rate; and FDIC Proposes to...more
3/1/2013 - Dually Payable Deposits EITF Estimated Value Disclosures OCIE Prioritized Examination SEC Structured Financial Products
In This Issue: Reverse Inquiry Transactions in the Spotlight; How Will the Fed’s Proposed Foreign Bank Rules Affect Foreign Bank Debt Financing Activities in the U.S.?; IOSCO Commences Consultation on Benchmarks; and...more
2/7/2013 - Benchmarks FINRA Foreign Banks Investors IOSCO Regulation T Reverse Inquiry Transactions SEC Structured Financial Products
In This Issue: Additional SEC Guidance on Estimated Value Disclosures; FINRA to Continue Its Focus on Structured Products; FINRA’s Ketchum Discusses Structured Products; FINRA Issues Q&A Guidance on New Communications...more
1/17/2013 - Estimated Value Disclosures ETFs ETNs Executive Compensation FINRA Prospectus SEC
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