Alert February 03, 2004

Financial Services Alert

  • SEC Issues Release Proposing Confirmation and Point of Sale Disclosure Requirements for Mutual Fund, UIT and 529 Plan Sales
  • Basel Committee Issues Technical Papers on Calculation of Cross-Border Operational Risk, Securitizations, and the Treatment of Expected and Unexpected Losses
  • FDIC Issues Rule Clarifying Insurance Coverage for Living Trust Accounts
  • OCC Rules UPS Drop Boxes Do Not Constitute Branches
  • Registered Adviser Trade Group Indicates It Will Draft Model Code of Ethics