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Searching Content by Dr. Holger Schelling, LLM ordered by Published Date Descending.
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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
2
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
3
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
4
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
5
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
6
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
7
A New ARRC Consultation Addresses LIBOR Fallbacks For Floating Rate Notes
For each cessation trigger and the steps in the two waterfalls above, the Consultation requests input from market participants as to their feasibility and other aspects.
United States
24 Oct 2018
8
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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