navigator: securities
An online service which provides key regulatory information regarding the marketing and sale of a wide range of closed-ended products and notes on a global basis for banks, fund managers, institutional asset managers and private equity firms.
This service provides information on the distribution of:
- closed-ended investment funds
- private equity funds
- equity securities
- debt securities
- linked products.
…and guidance for legal and compliance staff on the following:
- licensing and related requirements
- private placement exemptions
- selling restriction wording
- sanctions for breach
- on-sale liability issues.
View the navigator: securities flyer for more details.
This document is provided for information purposes only and does not constitute legal advice. Professional legal advice should be obtained before taking or refraining from any action as a result of the contents of this document.