In This Issue:
Launching an Exempt Structured Products Program in the United States: Issues for Non-U.S. Banks to Consider; “Big-Boy Letters” Revisited: Pharos Decision Upheld by the Sixth Circuit.; SEC Addresses Potentially Misleading Fund Names; What to Expect in 2014?; Nasdaq Quotation Service to Provide Quotes; LinkedIn; and Structured Products Conference: Regulation, Legal and Compliance Issues and Bootcamp Training Sessions.
Excerpt from Launching an Exempt Structured Products Program in the United States: Issues for Non-U.S. Banks to Consider -
Non-U.S. banks that maintain a registered medium-term note program may wish to supplement that platform with an exempt bank note program for issuances of structured products. Other non-U.S. banks may wish to make the plunge into the U.S. market for the first time. Alternatively, a non-U.S. bank may have an existing exempt program, but has never contemplated using that program for issuances of structured products. In this article, we summarize the key issues to be considered prior to launching an exempt structured products program.
Please see full issue below for more information.
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Topics: Banks, Big-Boy Letters, CPO, Disclosure Requirements, Dodd-Frank, EMIR, EU, Fiduciary Duty, FINRA, Foreign Banks, LinkedIn, MiFID, Misrepresentation, Nasdaq, OCC, Regulation D, Rule 144A, SEC, Securities Act of 1933
Published In: General Business Updates, Finance & Banking Updates, International Trade Updates, Securities Updates