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237 results found

Article

Morrison & Foerster LLP | USA | 26 Jun 2019

SEC requests comments as to securities offering exemptions

In June 2019, the SEC requested public comment on ways to simplify, harmonize and improve the exemptions from registration under the Securities Act

Article

Morrison & Foerster LLP | USA | 26 Jun 2019

Regulation best interest and structured products

In June 2019, after considerable debate and discussion over the course of several years, the SEC adopted its new Regulation Best Interest ("BI")

Article

Morrison & Foerster LLP | European Union | 26 Jun 2019

PRIIPs - no scope for clarity

In May 2019, the EU Commission responded to a letter from the Joint Committee of the European Supervisory Authorities (the "ESAs") dated July 19

Article

Morrison & Foerster LLP | United Kingdom, European Union | 14 Jun 2019

MoFo European Funds Playlist - Summer is Coming

Diversity is a song that we all need to sing. Encouragingly, it appears that the private equity industry is taking steps in the right direction to

Article

Morrison & Foerster LLP | United Kingdom, European Union, Global | 12 Apr 2019

A Regulatory Update for AIF Managers

In this alert, we provide an update on EU regulatory issues that are relevant to all managers of alternative investment funds, both for European and

Article

Morrison & Foerster LLP | United Kingdom, European Union | 27 Feb 2019

Kicking the can down the road: ESAs publish final report on amendments to PRIIPs kid

On February 8, 2019, the European Supervisory Authorities (ESAs) published a Final Report relating to a joint Consultation Paper (the “Consultation

Article

Morrison & Foerster LLP | USA | 27 Feb 2019

FINRA restates and Updates Guidance as to pre-inception index performance data

In a January 2019 interpretative letter, the Financial Industry Authority (FINRA) provided guidance to a registered broker-dealer as to the use of

Article

Morrison & Foerster LLP | USA | 27 Feb 2019

FINRA exam priorities and structured products

In January 2019, FINRA issued its annual “Risk Monitoring and Examination Priorities Letter.” The full text of the letter may be found here.The letter

Article

Morrison & Foerster LLP | United Kingdom | 1 Oct 2018

The Advent of Crypto-Asset Regulation in the UK?

The UK’s House of Commons Treasury Committee (Committee) published a report (Report) on September 12, 20181, in relation to the current and future

Article

Morrison & Foerster LLP | United Kingdom | 10 Aug 2018

ESMA temporary product intervention measures

As we previously reported in Volume 9, Issue 3, of Structured Thoughts6, the European Securities and Markets Authority (ESMA) took a decision to

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