42 results found
Morrison & Foerster LLP | USA | 3 Feb 2017
Investment Management Legal Regulatory Update - February 2017
On January 13, 2017, the U.S. Department of Labor...
Morrison & Foerster LLP | USA | 21 Mar 2012
Know your distributor
Distributors are often the principal or the last point of contact with retail investors.
Morrison & Foerster LLP | Hong Kong | 11 Nov 2011
HKEx streamlines rules governing the listing of debt securities offered to professional investors
Hong Kong Exchanges and Clearing Limited (“HKEx”) has recently issued its Consultation Conclusions on the Proposed Changes to Requirements for the Listing of Debt Issues for Professionals Investors Only, which amends the rules for listing debt securities (including convertible bonds) offered to professional investors, and marks a significant step by the HKEx to enhance its attractiveness as a listing platform for debt securities.
Morrison & Foerster LLP | USA | 8 Nov 2011
Revised FINRA proposal applies content standards ofRrule 2210 to broadly disseminated FWPs
On October 31, 2011, FINRA filed a partial amendment to its previous proposals to amend Rule 2210 and Rule 2211, which relate to communications by broker-dealers.
Morrison & Foerster LLP | USA | 27 Jul 2011
FINRA’s proposed revisions to Rule 2210, communications with the public: expected impact on the structured products market
In July 2011, FINRA proposed to amend several of its rules relating to broker-dealers’ communications with the public.