A broker-dealer failed to reasonably supervise its registered representatives when making recommendations of certain variable rate structured products (“VRSPs”), including fixed to floating rate steepeners and other variable...more
In our April webinar “Risk Mitigation Techniques in Trade Financing Structures”, which I delivered with my colleagues Sam Fowler-Holmes and Maria Capocci, we discussed methods to mitigate risks all the way along the...more
New legislation would ease benchmark transition for tough-to-amend contracts governed by NY law - New York State Senator Kevin Thomas has introduced a bill that would provide a legislative fix for contracts that lack...more