Rulefinder
Marketing Restrictions
Practical analysis of financial product and service distribution rules across the globe
Request free trialHow it works
We provide all the information you need to apply the laws and regulation applicable to marketing and selling financial services and products across the globe.
The online data is simple to access, easy to navigate and maintained daily by a dedicated senior legal team. And the granular structure allows you to consider specific product/service types and activities at a glance.
Rulefinder Marketing Restrictions:
- Covers "sell-side" marketing/selling in 65+ jurisdictions (separate "buy-side" module available)
- Provides granular analysis across a wide range of financial products and services, including debt, equity, derivatives, loans, FX spot deposit-taking, brokerage, custody, advice and research
- Considers specific marketing activities and general marketing
- Is available as an annual subscription. No tie-ins, no fuss
Who it's for
Our subscribers include leading investment and corporate banks who need practical guidance on distributing a range of products and services, from equity services to derivatives and loans.
How it helps
We work with leading counsel across the global to negotiate a detailed memoranda of law which is published in its entirety as well as an "Activity Matrix" and colour-coded report.
The detail is there for those who need it, and is made available in summary format for those who don't.
It paid for itself the first time I used it.
aosphere subscriber
Product features
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Simplify compliance
Your unlimited user licence includes:
- A user friendly colour-coded on screen report of key issues and a summary
- Access to sources, including local counsel memoranda and contact details
- Pre-drafted "cut and paste" legends/disclaimer language
- An "Activity Matrix" analysing answers by product/service/activity
- Compare and version audit features
- The ability to customise your own reports
- A daily monitoring and email alerting service
Jurisdictions covered
We provide consistent and comparable analysis across 65+ key jurisdictions.
Austria, Belgium, Czech Republic, Denmark, Finland, France, Germany, Guernsey, Hungary, Iceland, Ireland, Isle of Man, Italy, Jersey, Luxembourg, Netherlands, Norway, Poland, Portugal, Russian Federation, Spain, Sweden, Switzerland, Turkey, Ukraine and United Kingdom
Abu Dhabi Global Market (ADGM), Bahrain, Dubai International Financial Centre, Egypt, Israel, Kuwait, Nigeria, Oman, Qatar, Saudi Arabia, South Africa, and United Arab Emirates
Argentina, Bahamas, Bermuda, Brazil, British Virgin Islands, Canada, Cayman Islands, Chile, Colombia, Curacao, Mexico, Panama, Peru and United States
Australia, China, Hong Kong SAR, India, Indonesia, Japan, Kazakhstan (excluding AIFC), Malaysia, New Zealand, Pakistan, Philippines, Singapore, South Korea, Sri Lanka, Taiwan, Thailand and Vietnam
Experienced senior lawyers
The strength of our service is our people. We have a large dedicated team of experienced senior lawyers who are experts in their field and who realise what our subscribers need is fast, practical answers to real-life questions.
Topics covered include:
- Marketing/selling equity, loans/debt, securities financing, derivatives and FX
- Marketing/providing brokerage, arranging, placing, fund administration, custody, deposit taking, advice and research
- General marketing without reference to specific products/services
- Passive versus active marketing/selling
- Analysis by activity: fly-in, fly-out, telephone, email, written comms, websites and social media
- Use of intermediaries
- Institutional versus retail analysis
- Practical guidance on licensing process and fees
- Penalties for breach
- Prospectus Regulation (PR3)
- Markets in Financial Instruments Directive 2014 (MiFID II)
- Markets in Financial Instruments Regulation 2014 (MiFIR)
- Packaged Retail and Insurance Based Products Regulation 2014 (PRIIPs)
Featured
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Cross-border marketing in the digital age: 3 key regulatory themes
We are noticing certain themes in regulator initiatives focused on safeguarding investor protection specifically where some part of the marketing/selling process occurs within or is linked to a digital environment.
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CRD VI: Clock starts ticking on the EU’s tightened market access for third country entities
Our team has been tracking this legislative package in order to understand its impact on the ability of third country banks to provide services into the EU on a cross-border basis.