EP 45 - SEC’s Conflict of Interest Rule
Jul 12, 2023 ·
22m 6s
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Description
https://www.linkedin.com/in/kristi-leo/, president of the https://structuredfinance.org/, returns to speak with host https://www.nortonrosefulbright.com/en-us/people/1011359 about the SEC’s proposed conflict of interest rule. The rule would prohibit securitization participants from engaging in transactions that...
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Kristi Leo, president of the Structured Finance Association (SFA), returns to speak with host Patrick Dolan about the SEC’s proposed conflict of interest rule. The rule would prohibit securitization participants from engaging in transactions that could incentivize a participant to structure an asset-backed security to put their interests ahead of other investors.
We discuss SFA’s proposed revisions to the rule, including changes to several definitions such as “conflicted transaction” and “synthetic asset-backed security,” carve outs to the definition of “sponsor”, additional guidance to help clarify the more ambiguous provisions and more.
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We discuss SFA’s proposed revisions to the rule, including changes to several definitions such as “conflicted transaction” and “synthetic asset-backed security,” carve outs to the definition of “sponsor”, additional guidance to help clarify the more ambiguous provisions and more.
Information
| Author | Norton Rose Fulbright |
| Organization | Norton Rose Fulbright |
| Website | - |
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