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Capital Markets › Securities Regulation › Retail Investors

A&O Shearman

ESMA launches call for evidence on retail investor journey under MiFID II

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The European Securities and Markets Authority (ESMA) has launched a call for evidence (CfE), accompanied by a press release, to gather input on the retail investor journey in capital markets under the revised EU Markets in...more

Mayer Brown Free Writings + Perspectives

Growth of Permanent Capital Vehicles Expected to Accelerate

Mayer Brown Free Writings + Perspectives on

In recent years, private non-bank lending to private equity-owned, small- and middle-market companies has increased significantly.  According to a report from the Loan Syndications and Trading Association (LSTA) detailing...more

Jones Day

The Regulation of Private Markets in Australia—Where to Next?

Jones Day on

The Australian Securities & Investments Commission ("ASIC") is increasing its focus on private markets, adopting a similar approach to other international regulators. Following on from its introduction of a dedicated private...more

Hogan Lovells

FCA proposals to align retail and wholesale disclosure regimes for debt prospectuses

Hogan Lovells on

The Financial Conduct Authority (the FCA) has published a consultation on debt offerings to retail investors which proposes to introduce a single disclosure standard for debt prospectuses, removing the current distinction...more

Cooley LLP

Acting SEC Chair advocates “cost-effective regulations for every stage of a company’s lifecycle”

Cooley LLP on

Yesterday, Acting SEC Chair Mark Uyeda delivered remarks to the Florida Bar’s 41st Annual Federal Securities Institute and M&A Conference focused on regulatory efforts affecting every stage of a company’s lifecycle. Setting...more

Stikeman Elliott LLP

CSA Propose Binding Dispute Resolution Framework for Retail Client Complaints

Stikeman Elliott LLP on

The Canadian Securities Administrators (“CSA”) have proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) and changes to its companion policy...more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

SEC Releases Examination Priorities for 2023

Tannenbaum Helpern Syracuse & Hirschtritt LLP on

On February 7, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The published priorities reflect the Division’s...more

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