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Investor Protection › Securities Regulation › Retail Investors

Carlton Fields

Everyday Investor Participation in Private Strategies: What Role for Investor Advocate in SEC Drama?

Carlton Fields on

The SEC is under pressure to increase direct or indirect participation by everyday “retail” investors (consisting primarily of those who do not qualify as “accredited investors” under SEC Regulation D) in certain investment...more

Hogan Lovells

BaFin consultation on proposed product intervention measure on Turbo Certificates

Hogan Lovells on

On 21 May 2025 the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht - BaFin) has launched a consultation (GZ: WA 35-Wp 5427/00001#00554; available here (in German only)) prior to...more

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