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UK’s FCA restricts marketing of unregulated collective investment schemes and similar products to retail investors

Morrison & Foerster LLP
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United Kingdom
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June 17 2013

Following a public consultation conducted by its predecessor, the Financial Services Authority (FSA), the Financial Conduct Authority (FCA) of the UK

Reminders from the SEC and FINRA

Morrison & Foerster LLP
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USA
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June 17 2013

On June 12, 2013, Celia Moore, Assistant Director of the SEC's Structured New Products Unit, Division of Enforcement, and Richard Vagnoni, Senior

Electronic structured note systems and U.S. securities regulation

Morrison & Foerster LLP
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USA
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June 17 2013

Market participants in a number of jurisdictions outside of the U.S. use different types of electronic systems to offer structured products. In these

Court of Appeals reinstates insurance coverage claim for disgorgement

Morrison & Foerster LLP
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USA
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June 13 2013

In a decision issued on June 11, the New York Court of Appeals reversed the Appellate Division's dismissal of J.P. Morgan's lawsuit against its

Ninth Circuit limits key defense in ERISA stock drop cases

Morrison & Foerster LLP
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USA
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June 10 2013

On June 4, 2013, the Ninth Circuit issued an opinion in Harris v. Amgen, reversing an order granting a motion to dismiss and reviving a class action

SEC proposes floating NAV for institutional prime money market funds; “fees and gates” for non-government funds

Morrison & Foerster LLP
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USA
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June 5 2013

The Securities and Exchange Commission today unanimously proposed two alternative requirements for money market funds. First, the SEC would require

What’s old is new again: Total settles FCPA charges involving decade-old conduct

Morrison & Foerster LLP
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USA
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May 31 2013

This week the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) announced that France-based oil and gas company Total S

Broker-dealer email systems must keep pace with firm growth, FINRA says

Morrison & Foerster LLP
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USA
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May 28 2013

A recent FINRA disciplinary action sends a strong message to broker-dealers that the development of their compliance systemsparticularly with respect

MoFo Tech: SpringSummer 2013

Morrison & Foerster LLP
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USA
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May 22 2013

Behind every trend are new complications. And, often, laws trying to flatten the wrinkles the trends have wrought. Look at social media, for example

The European Alternative Investment Fund Managers Directivea non-EU fund manager’s perspective

Morrison & Foerster LLP
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European Union
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May 17 2013

The European Member States must implement the Directive on Alternative Investment Fund Managers (the "AIFMD"), which came into force on July 21

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Search results

UK’s FCA restricts marketing of unregulated collective investment schemes and similar products to retail investors

Reminders from the SEC and FINRA

Electronic structured note systems and U.S. securities regulation

Court of Appeals reinstates insurance coverage claim for disgorgement

Ninth Circuit limits key defense in ERISA stock drop cases

SEC proposes floating NAV for institutional prime money market funds; “fees and gates” for non-government funds

What’s old is new again: Total settles FCPA charges involving decade-old conduct

Broker-dealer email systems must keep pace with firm growth, FINRA says

MoFo Tech: SpringSummer 2013

The European Alternative Investment Fund Managers Directivea non-EU fund manager’s perspective

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