News & Analysis as of

Investors › Financial Regulatory Reform › Compliance

Lowenstein Sandler LLP

SEC Clarifies Accredited Investor Verification for Rule 506(c) Offerings

Lowenstein Sandler LLP on

The Securities Act of 1933, as amended (Securities Act), requires that any offer or sale of securities in the United States must either be registered with the SEC or qualify for an exemption to registration thereunder....more

Latham & Watkins LLP

FCA Publishes Retail Markets Disclosure Proposals for Consumer Composite Investments

Latham & Watkins LLP on

The FCA proposes moving away from the PRIIPs KIDs to a more flexible, technologically neutral regime, which allows firms to innovate and prioritise good customer outcomes....more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: Volume 5, Issue 4 - May 30, 2014

Morrison & Foerster LLP - Structured Products on

In This Issue: - No More KIDding Around: European Parliament Approves PRIIPs Regulation - FINRA Amends Rule 5110 to Exempt Certain Collective Investment Vehicles from Its Filing Requirements - The Time for the...more

Skadden, Arps, Slate, Meagher & Flom LLP

"The Future of Marketing Non-EU Alternative Investment Funds in Europe"

Skadden, Arps, Slate, Meagher & Flom LLP on

Adopted by the European Parliament in 2010 and implemented by EU member states in July 2013, the Alternative Investment Fund Managers Directive (the Directive) seeks to protect investors and mitigate market instability by...more

4 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide