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.

LOADING PDF: If there are any problems, click here to download the file.

Topics:  Brokers, False Claims Act, Financial Conduct Authority, Financial Services Authority, FINRA, Investors, SEC, Structured Financial Products, Term Sheets, UCITS

Published In: General Business Updates, Communications & Media Updates, Finance & Banking Updates, International Trade Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Morrison & Foerster LLP - Structured Products | Attorney Advertising

Don't miss a thing! Build a custom news brief:

Read fresh new writing on compliance, cybersecurity, Dodd-Frank, whistleblowers, social media, hiring & firing, patent reform, the NLRB, Obamacare, the SEC…

…or whatever matters the most to you. Follow authors, firms, and topics on JD Supra.

Create your news brief now - it's free and easy »