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Keywords: Institutional investors
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Journal Articles
Holding ABS is still tricky: the EU securitisation regulation and its UK equivalent: This article was correct at the time it was written in October 2020.
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2021) 22 (1): 34–39.
Published: 08 April 2021
...Christian Parker; Arun Srivastava; Paul Severs; Cameron Saylor Purpose To highlight that the risk retention rules associated with the holding of securitization investments, commonly thought to apply only to the sponsors and manufacturers of securitisations, also affect EU institutional investors...
Journal Articles
FINRA issues interpretive guidance on related performance in institutional communications
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 36–39.
Published: 06 November 2017
... sales materials distributed solely to institutional investors. Design/methodology/approach Provides background, including the application of FINRA Rule 2210, and explains the conditions under which fund marketing materials may contain Related Performance Information. Findings While...
