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

Morrison & Foerster LLP
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European Union, USA
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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

Indices

Morrison & Foerster LLP
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European Union, Global
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October 12 2012

Recently, the Global Financial Markets Association (GFMA) published a statement of Principles for Financial Benchmarks, which are intended to represent best practices for financial benchmarks

Focus on ETFsETNs

Morrison & Foerster LLP
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European Union, USA
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November 8 2011

Since our alert in June 2011 concerning the regulatory scrutiny focused on ETFs, the focus has only intensified

The approach to developing common suitability standards for the sale of complex financial products: an industry view

Morrison & Foerster LLP
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European Union, Global
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July 14 2011

Following the demise of Lehman Brothers, concerns arose globally relating to the suitability and business conduct standards employed in the sales of financial products, and in June 2009 the Technical Committee of International Organization of Securities Commissions (“IOSCO”) announced that it had mandated a standing committee (“TCSC3”) to review the suitability obligations that relate to intermediaries’ distribution to investors of complex financial products

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

Indices

Focus on ETFsETNs

The approach to developing common suitability standards for the sale of complex financial products: an industry view

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