Structured Financial Products

News & Analysis as of

FCA Publishes Decision Notices In Respect Of Three Former Members Of Keydata’s Senior Management

In this decision report, we consider the FCA’s decision notices issued to the former chief executive, sales director and compliance officer of Keydata Investment Services Ltd in connection with the sale of structured...more

Rating Agency Developments

On June 26, Fitch released its updated criteria for rating credit card asset-backed securities. On June 23, Fitch released its updated criteria for rating thermal power projects. On June 23, Fitch released its updated global...more

Structured Thoughts: News for the financial services community, Volume 6, Issue 4

In This Issue: - FINRA Requests Comments on Proposed Amendments to Rule 2210 and Issues Additional FAQs - FINRA’s Revised Sanction Guidelines - A Uniform Fiduciary Duty Standard and the Structured Products...more

Orrick's Financial Industry Week in Review

Fair and Effective Markets Review Publishes Final Report - On June 10, 2015, the Fair and Effective Markets Review (FEMR), established by the Chancellor in June 2014 to conduct a review of fixed income, currency and...more

Financial Regulatory Developments Focus - June 2015

In This Issue: - US Board of Governors of the Federal Reserve System Proposes Rule to Treat US Municipal Securities as Level 2B High-Quality Liquid Assets under the Liquidity Coverage Ratio - US Financial...more

The Sukuk Handbook: A Guide To Structuring Sukuk

In this Issue: - The History and Development Of Sukuk - Summary Of Sukuk Structures - Sukuk Al-Ijara - Case Study: Government Of Dubai US$5 Billion Trust Certificate Issuance Programme -...more

Joint Committee Report on Securitization

On May 12, 2015, the Joint Committee of the three European Supervisory Authorities (ESAs) published a report detailing its findings and recommendations regarding the disclosure requirements and obligations relating to due...more

Rating Agency Developments

On April 30, DBRS published its methodology for evaluating the mortgage servicers in a Canadian structured finance transaction. On April 30, DBRS released its updated methodology for rating Canadian structured finance...more

Structured Thoughts: News for the financial services community, Volume 6, Issue 3

In This Issue: - The National Senior Investor Initiative - SEC Commissioner Addresses Structured Notes - The SEC Defines “Voting Equity Securities” Under the Rule 506(d) Bad Actor Disqualification...more

Rating Agency Developments

On April 23, Fitch released its updated criteria for rating operational risk of U.S. servicers of RMBS and small balance commercial securities. On April 23, Fitch released its updated criteria for rating operational risk of...more

Orrick's Financial Industry Week in Review

European Commission Unveils Tax Transparency Package - The European Commission has laid out its plans in a new Tax Transparency Package to clamp down on tax deals made between EU governments and multi-national...more

FCA Publishes Structured Products Review

The UK Financial Conduct Authority (“FCA”) has published a review of structured product governance, in which it has criticized the ways in which instruments are developed and sold. The review contained six key points...more

Structured Thoughts - Volume 6 , Issue 2 - March 2015

In This Issue: - FCA Publishes Thematic Review on Structured Product Development and Governance - EU Commission Review of Prospectus Directive - SEC Issues Investor Bulletin Relating to Structured Notes -...more

Investment Funds Update - Europe: Key legal and regulatory updates for the funds industry from the primary European asset...

Société de Libre Partenariat - A New French Investment Structure - The Macron Law, which is still under discussion by the French parliament, created a new investment vehicle called the “société de libre partenariat”....more

FCA raises concerns over structured products

The UK’s Financial Conduct Authority (FCA) has published its Occasional Paper No. 9, setting out the results of the FCA’s research into how well customers understood structured products. The answer, according to the report,...more

California Public Employees’ Retirement System Settles with Credit Rating Agency

On February 3, the California Public Employees’ Retirement System (CalPERS) announced a $125 million settlement with a large credit rating agency and its parent company to resolve charges made in connection with the agency’s...more

EU Disclosure Requirements for Structured Finance Instruments from 2017 Onwards

The European Commission has recently issued a supplementary regulation relating to regulatory technical standards on disclosure requirements for structured finance instruments. The disclosure requirements cover structured...more

Uses and Advantages of Delaware Statutory Trusts and Delaware Limited Liability Companies in Structured Finance Transactions

Over the past 10-20 years, a large number of secured equipment finance and asset securitization transactions have been structured using either a Delaware Statutory Trust (a “DST”) created pursuant to the Delaware Statutory...more

Structured Thoughts - Volume 6 , Issue 1 - January 26 , 2015

In This Issue: - FINRA Releases 2015 Regulatory and Exam Priorities Letter: Structured Products Remain an Area of Focus - OCIE Exam Priorities: 2015 - In Re: TVIX Securities Litigation - Second...more

Structured Thoughts: News for the financial services community, Volume 5, Issue 9

In This Issue: - What to Expect in 2015 - EU Regulatory Agenda: Into 2015 - FINRA Issues Report Relating to its Communication Rules - Structured Product Offerings and RIAs - The SEC, Investment Funds and...more

Financial Services Report - Winter 2014

In This Issue: - Beltway Report - Bureau Report - Mobile & Emerging Payments Report - Mortgage & Fair Lending Report - Operations Report - Preemption Report - Privacy...more

Business Litigation Report -- December 2014

In This Issue: Main Article: - Cloud Computing: Legal Issues on the Horizon Noted With Interest: - Stays Pending Covered Business Method Patent Review: VirtualAgility v....more

December 2014: Securities and Structured Finance Litigation Update

Recent Cases Signal That Victims of Terrorist Attacks May Be Able to Collect Damages from Financial Institutions. A pair of decisions from the United States Court of Appeals for the Second Circuit and United States District...more

Structured Thoughts: Volume 5, Issue 8 - December 2014

In This Issue: - Key Regulators Speak at Structured Products Conference - FINRA Shows Its CARDS; It Will Use Big Data to Review Suitability of Complex Products Sales - FINRA’s Proposed Bond Mark-up...more

Assured Guaranty Discontinues Lawsuit Against DB Structured Products

On November 17, 2014, Justice Shirley Werner Kornreich of the Supreme Court for the State of New York, New York County approved the stipulation of voluntary discontinuance between Assured Guaranty Municipal Corp., DB...more

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