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Results: 1-10 of 24

Investment Management Legal Regulatory Update - August 2016
  • Morrison & Foerster LLP
  • USA
  • August 16 2016

First, the SEC required funds to designate a Chief Compliance Officer. Then, the SEC proposed that funds designate a liquidity risk manager and


Investment management legal regulatory update - April 2016
  • Morrison & Foerster LLP
  • USA
  • April 20 2016

The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving


FINRA Addresses Inaccurate Levels of a Proprietary Index
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In November 2015, FINRA fined a member firm after the member firm published inaccurate levels for a proprietary index. In this case, FINRA


SEC Issues Research Note Relating to August 2015 Equity Market Volatility
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In December 2015, the Office of Analytics and Research of the SEC’s Division of Trading and Markets issued a research note discussing the extreme


U.S. Regulatory Developments: What to Expect in 2016
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

As we make our annual prognostications, there is less visibility than in years past regarding many regulatory and enforcement matters. The majority


Investment management legal regulatory update - November 2015
  • Morrison & Foerster LLP
  • USA
  • November 17 2015

In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced compliance


FINRA issues investor alert on fraudulent binary options
  • Morrison & Foerster LLP
  • USA
  • November 4 2015

In October 2015, FINRA issued an investor alert, "Binary Options: These All-Or-Nothing Options Are All-Too-Often Fraudulent." The alert, and FINRA's


IRS releases notices designating certain “basket contracts” as listed transactions and others as reportable transactions of interest
  • Morrison & Foerster LLP
  • USA
  • August 31 2015

In July 2015, the IRS released two notices addressing "basket contracts." Generally, these are derivative instruments linked to a basket of reference


TLAC and structured notes
  • Morrison & Foerster LLP
  • European Union, USA
  • January 26 2015

Financial institution issuers of structured products probably are all too aware of the heightened regulatory capital requirements and new


What to expect in 2015?
  • Morrison & Foerster LLP
  • USA
  • December 23 2014

Here are our thoughts on what to expect in the structured products area in 2015. Dodd-Frank-Related Developments The Volcker Rule: Last year at about