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Results: 1-10 of 83

Regulation R and bank sales of structured products

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 12 2013

Federal and state banks, including those that are affiliated with issuers of structured products, remain important participants in the distribution

Regulating retail structured productsthe IOSCO toolkit

  • Morrison & Foerster LLP
  • -
  • Global
  • -
  • May 2 2013

The regulation of retail structured products in established markets such as in Europe and the United States is not a new concept. Since the onset of

EU Regulation on Short Selling: impact on U.S. issuers of structured notes

  • Morrison & Foerster LLP
  • -
  • European Union, USA
  • -
  • November 13 2012

On November 1, 2012, the regulation (the “Regulation”) of the European Parliament and Council of the European Union on short selling and certain aspects of credit default swaps became effective

ESMA’s technical standards for EMIR

  • Morrison & Foerster LLP
  • -
  • European Union
  • -
  • November 9 2012

“The publication of ESMA’s standards on EMIR sees the EU taking its final steps towards meeting the G20 commitment on bringing OTC derivatives trading under supervision, and provides clarity to the market on the shape of the new regime.” Steven Maijoor, ESMA Chair

IOSCO consultation report on financial benchmarks

  • Morrison & Foerster LLP
  • -
  • Global
  • -
  • May 6 2013

As we have previously reported, a Task Force of the International Organization of Securities Commissions ("IOSCO") published a consultation on

FCA temporary product intervention rules: nipping it in the bud

  • Morrison & Foerster LLP
  • -
  • United Kingdom
  • -
  • April 12 2013

The Financial Conduct Authority ("FCA") has already made it clear that, in responding to threats relating to financial markets, will tolerate lower

FINRA’s 2013 communication rules and revisions to MSDAs

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • April 12 2013

In February 2013, FINRA's new rules relating to communications with the public became effective.1 These new rules have affected distributors who

The will to live: recovery and resolution plans for UK banks

  • Morrison & Foerster LLP
  • -
  • United Kingdom
  • -
  • December 29 2009

Making a will is regarded by most individuals as a necessary irritant ranking in popularity somewhere below a visit to the dentist or doctor

The UK’s Financial Services Act 2012: some key features

  • Morrison & Foerster LLP
  • -
  • United Kingdom
  • -
  • April 15 2013

In the late 1990s, the UK Financial Services Authority (the "FSA") was created by Gordon Brown, the incumbent-Chancellor of the Exchequer, combining

CESR public consultation relating to application of the Mifid appropriateness test to certain structured products

  • Morrison & Foerster LLP
  • -
  • European Union
  • -
  • March 29 2010

The Markets in Financial Instruments Directive consists of the Directive 200439EC of 21st April 2004 on markets in financial instruments ("Mifid Level 1 Directive" or "Mifid L1"), together with the implementing Directive 200673EC of 10th August 2006 as regards organisational requirements and operating conditions for investment firms and defined terms ("Mifid Level 2 Directive" or "Mifid L2") and the implementing Regulation (EC) No 12872006 of 10th August 2006 as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading and defined terms (the "Mifid Level 2 Regulation"

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