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263 results found

Article

Morrison & Foerster LLP | European Union | 27 Dec 2017

PRIIPs Implementation Date Fast Approaching

As mentioned in our Volume 8, Issue 75 publication of Structured Thoughts, the EU Packaged Retail Products and Insurance-Based Products Regulation

Article

Morrison & Foerster LLP | USA | 27 Dec 2017

Notice Extends Phase-In of Section 871(m) Regulations

On August 4, 2017, the Internal Revenue Service released Notice 2017-42 (the "Notice"), which further extends the phase-in of regulations under

Article

Morrison & Foerster LLP | European Union | 27 Dec 2017

Benchmark Regulation: Latest on Grandfathering

The vast majority of the provisions under the EU Benchmarks Regulation (the "BMR") come into effect on 1 January 2018. The BMR establishes a new

Article

Morrison & Foerster LLP | USA | 27 Dec 2017

U.S. Regulatory Agenda: What to Expect in 2018

Each year for the last several years, we have shared with our readers our list of anticipated areas of regulatory focus for the coming year. Although

Article

Morrison & Foerster LLP | United Kingdom, European Union | 27 Dec 2017

EU Regulatory Agenda: What to Expect in 2018

From a regulatory viewpoint, 2017 was mostly a year for implementing laws and regulations that had already been agreed in principle. There were no

Article

Morrison & Foerster LLP | USA | 27 Dec 2017

Structured Product Red Herrings: Rule 433 and Rule 424(b)

Red herrings for most offerings of structured products registered with the Securities and Exchange Commission (the "SEC") under the Securities Act of

Article

Morrison & Foerster LLP | United Kingdom | 27 Dec 2017

Financial Conduct Authority Releases Data Relating to Complaints about Financial Products

In October 2017, the UK Financial Conduct Authority ("FCA") released its Complaints Data Analysis relating to the first half of 2017.6 The data showed

Audio

Morrison & Foerster LLP | USA | 17 Nov 2017

Bad Actor Disqualification Provisions

There are very similar disqualification provisions in Regulation A, Regulation CF (Crowdfunding) and Regulation D. These rules make these exemptions

Article

Morrison & Foerster LLP | USA | 15 Nov 2017

Sales of VIX-Linked ETPs Back to Basics for FINRA

FINRA used a misselling case to remind member firms of certain fundamentals, including the importance of implementing a new product approval process

Article

Morrison & Foerster LLP | USA | 15 Nov 2017

SEC Announces Efforts to Protect Retail Investors and to Take on Cyber Threats

In a September 25, 2017 press release (which may be found here, the SEC announced two new initiatives from its Enforcement Division: the establishment

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