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Searching Content indexed under Finance and Banking by Hanwen Zhang ordered by Published Date Descending.
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1
Refresher: Structured Products: A Framework For Post-Approval Review
Many issuers and their affiliated broker-dealers have an elaborate new product approval process, but may focus less time on the post-approval review.
United States
28 Jan 2019
2
New QFC Stay Rules Affect Dealer Agreements And Distribution Agreements
Starting in 2019, U.S. globally systemically important banking organizations ("GSIBs") and their subsidiaries worldwide, as well as the U.S. subsidiaries, branches and agencies of foreign GSIBs
United States
25 Jan 2019
3
United Kingdom Financial Services Legislation In The Aftermath Of A No-Deal Brexit—What Potential Changes To UK Securities Laws And Regulations Should Issuers Of Securities Be Aware Of?
A significant portion of the law and regulation applicable in the United Kingdom (the "UK") pre-Brexit is derived from the European Union ("EU").
European Union
25 Jan 2019
4
FDIC Announces Review Of Brokered Deposits And Requests Comments
On December 18, 2018, the Federal Deposit Insurance Corporation (the "FDIC") published an advance notice of proposed rule-making and request for comments (the "Notice") in connection
United States
25 Jan 2019
5
SEC Investor Advocate Report On Activities For Fiscal Year 2018: Survey Results Regarding Investment Advice
The Office of the Investor Advocate released its "Report on Activities for the Fiscal Year 2018" (the "Report").2 During the 2018 fiscal year, the Investor Advocate focused significant attention
United States
25 Jan 2019
6
How Does An Index Split?
We are all familiar with forward and reverse stock splits of common stock and shares of exchange-traded funds, and the related anti-dilution provisions contained in structured notes linked to those underliers.
United States
24 Jan 2019
7
Responses To ISDA's Proposals For IBOR Replacements: A Step Toward Certainty For LIBOR Notes
In July 2018, the International Swaps and Derivatives Association, Inc. published a consultation on options for calculating adjusted risk-free rates and spread adjustments to be used as fallbacks in derivatives contracts ...
United States
24 Jan 2019
8
REVERSEinquiries, Volume 1, Issue 8
REVERSEinquiries is Mayer Brown's structured and market-linked products-focused newsletter.
United States
13 Dec 2018
9
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
10
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
11
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
12
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
13
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
14
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
15
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
16
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
17
The ARRC Releases its Guiding Principles for New LIBOR Fallbacks
On July 9, 2018, the Alternative Reference Rates Committee (the "ARRC") announced voluntary guiding principles for market participants to use in developing new LIBOR fallbacks for cash products, which include USD LIBOR floating rate notes.
United States
25 Jul 2018
18
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
19
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
20
Structured And Market-Linked Product News For Inquiring Minds (REVERSEinquiries: Volume 1, Issue 3)
In late May, the Federal Reserve approved the release for comment of proposed amendments to the Volcker Rule. The other four agencies that share in rulemaking authority for the rule ...
Worldwide
21 Jun 2018
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