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 the SEC and FINRA.
Excerpt from UK’s FCA Restricts Marketing of Unregulated Collective Investment Schemes and Similar Products to Retail Investors -
Following a public consultation conducted by its predecessor, the Financial Services Authority (FSA), the Financial Conduct Authority (FCA) of the UK has published new, final rules restricting the distribution of unregulated collective investment schemes and “close substitutes” to certain retail investors.
Please see full issue below for more information.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.