Searching Content indexed under Securities by Agustin Ferrari ordered by Published Date Descending.
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New QFC Stay Rules Affect Dealer Agreements And Distribution Agreements
Starting in 2019, U.S. globally systemically important banking organizations ("GSIBs") and their subsidiaries worldwide, as well as the U.S. subsidiaries, branches and agencies of foreign GSIBs
United States
25 Jan 2019
United Kingdom Financial Services Legislation In The Aftermath Of A No-Deal Brexit—What Potential Changes To UK Securities Laws And Regulations Should Issuers Of Securities Be Aware Of?
A significant portion of the law and regulation applicable in the United Kingdom (the "UK") pre-Brexit is derived from the European Union ("EU").
European Union
25 Jan 2019
SEC Investor Advocate Report On Activities For Fiscal Year 2018: Survey Results Regarding Investment Advice
The Office of the Investor Advocate released its "Report on Activities for the Fiscal Year 2018" (the "Report").2 During the 2018 fiscal year, the Investor Advocate focused significant attention
United States
25 Jan 2019
Product Intervention – A New Tool In EU Securities Regulation
"Product intervention" means that regulators have the power to ban or restrict certain types of financial instruments or activities, for example, by imposing restrictions on the type of investors to which certain financial instruments ...
United States
1 Nov 2018
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
NASAA Releases Annual Enforcement Report 2018
The North American Securities Administrators Association (NASAA) released its 2018 Enforcement Report based on 2017 data collected from 51 NASAA US members.
United States
30 Oct 2018
FINRA Releases Report On The Rise Of RegTech
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
United States
29 Oct 2018
Congress Urges SEC To Revise Regulation Best Interest
The legislators are concerned that proposed Regulation BI relies heavily on disclosures to investors without any evidence suggesting that these disclosures would be effective.
United States
26 Oct 2018
SEC Director Blass's Congressional Testimony
The Relationship Summary would require broker-dealers and investment advisers to disclose in a succinct manner their relationships with retail investors.
United States
25 Oct 2018
REVERSEinquiries: Volume 1, Issue 7
REVERSEinquiries is Mayer Brown's new structured and market-linked products-focused newsletter. In this issue, we discuss:
United States
23 Oct 2018
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