Linking to ETFs vs. Linking to Indices -
A person studying structured products issuances for the first time might think he is having a case of double vision. On the one hand, there are a variety of products linked to...more
FINRA’s Proposed Amendments to the Corporate Financing Rules – Impact on Structured Notes -
In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the “Corporate Financing Rule.” ...more
5/1/2017
/ Broker-Dealer ,
Corporate Financing ,
Disclosure Requirements ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Hedging ,
Hotlines ,
Investors ,
Proposed Amendments ,
Structured Financial Products ,
Underwriting
In our capacity as advisers to financial institutions, we carefully monitor FINRA’s rulemaking and enforcement activities with a view to thinking about how these affect market participants and their activities. FINRA’s March...more
Updating Unregistered Structured Note Programs: How Frequently? -
For some types of securities offering programs, we have “black letter law” that instructs issuers how frequently the program documentation should be...more
9/15/2016
/ BaFin ,
Bank Holding Company ,
Brokerage Accounts ,
Cease and Desist Orders ,
Duty to Update ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Fixed Income Investments ,
Germany ,
Income Tax Act ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Subsidiaries ,
TLAC ,
TRACE
U.S. Structured Warrant Programs:
Introduction -
U.S. and non-U.S. banks have offered structured warrants in the U.S. to address the needs of both institutional and high-net worth investors. This article will...more
10/17/2015
/ Advertising ,
Banking Sector ,
Broker-Dealer ,
Cease and Desist ,
Cooperation ,
Corporate Financing Rule ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Hedges ,
High Net-Worth ,
Institutional Investors ,
Internal Controls ,
Investors ,
Material Misstatements ,
Misleading Statements ,
Neither Admit Nor Deny Settlements ,
OCC ,
Omissions ,
Private Offerings ,
Prospectus ,
Public Offerings ,
Required Documentation ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Structured Finance ,
Structured Financial Products ,
Survivor Benefits ,
Warrants
OCIE Issues Risk Alert Relating to Structured Note Sales -
Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more
9/1/2015
/ Broker-Dealer ,
Compensation Standards ,
Derivatives ,
EDGAR ,
Endangered Species Act (ESA) ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Internal Communications ,
IRS ,
Loss Contingencies ,
NASD ,
OCIE ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Structured Finance ,
Training ,
UK ,
Underwriting
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
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
12/24/2014
/ Banking Sector ,
Banks ,
Derivatives ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Investment Adviser ,
Investment Funds ,
Securities and Exchange Commission (SEC) ,
Structured Financial Products