Hintze, John
November 2004
Investment Dealers' Digest;11/8/2004, Vol. 70 Issue 43, p22
Trade Publication
Discusses banks' protest against the attempt by bank regulators and the U.S. Securities and Exchange Commission to come up with guidelines for banks working on so-called complex structured financial transactions. Vague and broad definition of such transactions; Concern about the chilling effect on communication of the proposal's call for banks to document their dealings with clients; Cases suggesting that the industry cannot police itself without help; Guidance's lack of enforcement power of a regulatory rule.


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