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SEC issues investor alert about non-traditional index funds

USA - August 10 2018 On August 6, 2018, concurrent with their release of an investor alert regarding index funds8, the United States Securities and Exchange Commission...

Lloyd S. Harmetz, Jeremy C. Jennings-Mares, Tadashi Okamoto, James E. Schwartz.


UK Financial Conduct Authority calls for input on priips

United Kingdom - August 10 2018 On July 26, 2018, the Financial Conduct Authority (FCA) of the United Kingdom issued a Call for Input1 in relation to the Packaged Retail and...

Lloyd S. Harmetz, Jeremy C. Jennings-Mares, Tadashi Okamoto, James E. Schwartz.


The return of gary plastics

USA - August 10 2018 A securities law riddle: When does an instrument that is not a security become a security? For example, Section 3 of the Securities Act of 1933...

Lloyd S. Harmetz, Jeremy C. Jennings-Mares, Tadashi Okamoto, James E. Schwartz.


ESMA temporary product intervention measures

United Kingdom - August 10 2018 As we previously reported in Volume 9, Issue 3, of Structured Thoughts6, the European Securities and Markets Authority (ESMA) took a decision to...

Lloyd S. Harmetz, Jeremy C. Jennings-Mares, Tadashi Okamoto, James E. Schwartz.


The Decision of the U.S. Court of Appeals Rules in Favour of LSTA in CLO Risk Retention Suit

USA - March 5 2018 This brief summary of the decision delivered on 9 February 2018 will be of interest to anyone involved in the CLO business in the United States...

Vladimir Maly, Jeremy C. Jennings-Mares, Kenneth E. Kohler.