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Searching Content indexed under Securitization & Structured Finance by Anna T. Pinedo ordered by Published Date Descending.
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Indices: The Good, The Bad And Knowing The Difference
An issuer comes to us and asks if it can link its debt security to an index. This seemingly simple question (if the index is the S&P® 500 Index, for example) progresses ...
United States
1 Mar 2019
2
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
3
REVERSEinquiries: Volume 1, Issue 5 (Structured and market-linked product news for inquiring minds)
REVERSEinquiries is Mayer Brown's new structured and market-linked products-focused newsletter.
United States
29 Aug 2018
4
Regulation Best Interest: Can Structured Products Conflicts Be Resolved?
Material conflicts of interest arising from financial incentives are treated differently under the Regulation, as those conflicts must be mitigated or eliminated, whereas other material conflicts of interest may be resolved with disclosure only.
United States
15 Aug 2018
5
Chair Clayton's Congressional Testimony
In his most recent testimony before Congress, SEC Chair Jay Clayton focused on Main Street investors. Addressing standards of conduct for broker-dealers and investment advisers, Chair Clayton noted that the rulemaking package issued in April this year would enhance retail investor protection and understanding while preserving retail investor access.
United States
25 Jul 2018
6
Fifth Circuit Vacates Fiduciary Rule
On June 21, 2018, in a 2-1 decision, the U.S. Court of Appeals for the Fifth Circuit issued its mandate formally vacating the U.S. Department of Labor's ("DOL") conflict of interest rule and its related exemptions (the "Fiduciary Rule").
United States
25 Jul 2018
7
REVERSEinquiries: Volume 1, Issue 4
REVERSEinquiries is Mayer Brown's new structured and market-linked productsIn this issue, we discuss:
United States
25 Jul 2018
8
Broker-Dealer Sanctioned for Encouraging Early Resales of Structured Notes
On June 25, 2018, the Securities and Exchange Commission, or the SEC, announced that a broker-dealer settled charges relating to recommended resales of structured notes and certificates of deposit to retail investors between January 2009 and June 2013.
United States
25 Jul 2018
9
Commissioner Stein on Complex Products
On June 7, 2018, SEC Commissioner Kara Stein spoke at a conference and once again focused on complex products.
United States
25 Jul 2018
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