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Gramm-Leach-Blilely Act › Broker-Dealer › Financial Conduct Authority (FCA)

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's New Office of Financial Innovation and a Proposal From the...

Katten Muchin Rosenman LLP on

BROKER-DEALER - OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - On April 16, the Office of Compliance Inspections and Examinations (OCIE) of the Securities...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts -- Volume 4, Issue 5 -- April 12, 2013

Morrison & Foerster LLP - Structured Products on

In This Issue: FINRA’s 2013 Communication Rules and Revisions to MSDAs; Regulation R and Bank Sales of Structured Products; FCA Temporary Product; and Intervention Rules: Nipping It in the Bud. Excerpt from...more

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