News & Analysis as of

Brokers › Structured Financial Products

Ballard Spahr LLP

CFPB, joined by South Carolina Dept. of Consumer Affairs and Arkansas AG, files lawsuit targeting service providers to pension...

Ballard Spahr LLP on

The CFPB filed a complaint in a South Carolina federal district court against Upstate Law Group LLC. and two of its individual owners and managers that alleges the defendants violated the Consumer Financial Protection Act’s...more

Burr & Forman

OCIE Warns on Suitability in Retail Sales of Structured Products

Burr & Forman on

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a recent “Risk Alert” noting observed deficiencies in broker-dealer supervision and compliance controls over retail sales of structured products –...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts -- Volume 4, Issue 9 -- June 17, 2013

Morrison & Foerster LLP - Structured Products on

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

Morrison & Foerster LLP - Structured Products

Keep it simple - Supervisors have taken an increasing interest in structured products recently. But regulating complexity isn’t...

Morrison & Foerster LLP - Structured Products on

Originally published in International Financial Law Review on February 5th, 2013. Structured products have come under considerably greater regulatory scrutiny in recent years. In the US, regulators have become...more

4 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide