Michael Harris

K&L Gates LLP

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PRIIPs KID – The New Disclosure Document for Manufacturers and Distributors of Funds, Structured Securities and Other Packaged...

Commencing on 1 January 2018, European and non-European entities or persons producing or selling packaged retail investment and insurance-based products (so-called PRIIPs) to retail investors in Europe, will be required under...more

10/12/2017 / EU , European Supervisory Authorities (ESAs) , Financial Institutions , MiFID II , Packaged Retail And Insurance-Based Investment Products (PRIIPS) , Retail Investors , RTS , UCITS

BaFin Restricts CFD Trading in Germany

On 8 May 2017, the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht-“BaFin”) issued a General Administrative Act (Allgemeinverfügung) restricting the marketing, distribution and...more

5/29/2017 / BaFin , CFD Trading , Financial Services Industry , Germany , Investment Products

Reforming the Financial Markets in Germany—Update on the Implementation of MiFID2

The Ministry of Finance in Germany has just concluded a consultation for a 379-page draft bill for the Second Financial Markets Reform Act (Zweites Finanzmarktnovel-lierungsgesetz) (the “Act”) that aims to transpose, amongst...more

11/16/2016 / BaFin , European Securities and Markets Authority (ESMA) , Financial Markets , Germany , MiFID II , MiFIR , Securities Financing Transactions (SFTs)

Retail Distribution of Credit Linked Notes to Be Banned in Germany

The German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, BaFin) plans to issue a ban on the retail distribution of credit linked notes in Germany. For this purpose, on July 28,...more

8/11/2016 / BaFin , Borrowers , Germany , Public Comment

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