Edition 8 Markets Regulation Client Newsletter – August 2015 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information prepared

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• Systemic risk
• Royal Bank of Scotland Group
• Financial markets
• Corporate law
• European Market Infrastructure Regulation
• Commodity Futures Trading Commission
• Derivative
• DoddFrank Wall Street Reform and Consumer Protection Act
• Over-the-counter
• RBS Securities
• Royal Bank of Scotland
• Securities regulation in the United States

PR NoCaution to investors The Securities and Exchange Board of India (“SEBI”) is a regulatory body established by an Act of Parliament to protect the interests of investors in the securities market, to prom

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• Stock market
• Securities and Exchange Board of India
• Security
• Securities market
• Qualified institutional placement
• Motilal Oswal Group

HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER California Department of Business Oversight 1515 K Street, Suite 200 Sacramento, CA 95814

Source URL: www.dbo.ca.gov

• Economy
• Finance
• Money
• United States securities law
• Corporate crime
• U.S. Securities and Exchange Commission
• Uniform Investment Adviser Law Exam
• Financial adviser
• Patent application
• Financial Industry Regulatory Authority
• Broker-dealer
• Investment Advisers Act

SECURITIES INVESTOR PROTECTION CORPORATION 2015

Source URL: www.sipc.com

• Finance
• Money
• Economy
• Self-regulatory organizations
• United States securities law
• Investment
• Securities Investor Protection Corporation
• Corporate crime
• Securities Investor Protection Act
• DoddFrank Wall Street Reform and Consumer Protection Act
• Broker-dealer
• U.S. Securities and Exchange Commission

THIS FLASHSEED CONVERTIBLE PROMISSORY NOTE AND ANY SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER THE SECURITIES

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No of US fed sec cl ac law fi pr yr 08_12

Source URL: www.carolinasclassaction.com

• Stock market
• 107th United States Congress
• SarbanesOxley Act
• United States corporate law
• U.S. Securities and Exchange Commission
• Securities Class Action
• Initial public offering
• Citigroup
• Class action
• Security
• Accounting
• Securities Exchange Act

APEX CLEARING CORPORATION AND/OR BROKER DEALERS FOR WHICH IT CLEARS CUSTOMER MARGIN AND SHORT ACCOUNT AGREEMENT This Customer Margin and Short Account Agreement (the “Agreement”) sets forth the respective rights and

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• Economy
• Finance
• Money
• Financial markets
• Securities Investor Protection Corporation
• Broker-dealer
• Securities Exchange Act
• Short
• Deposit account
• Security
• Margin
• Customer

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CFORM 10-Q È QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Source URL: www.morganstanley.com

• Economy
• Business economics
• Accounting
• Financial statements
• Financial markets
• Mergers and acquisitions
• Balance sheet
• Shareholders
• Consolidated financial statement
• Consolidation
• Accumulated other comprehensive income
• Valuation

Ad-hoc announcement of 24 February 2016 pursuant to Section 15 of the German Securities Trading Act (WpHG) _wige MEDIA AG, ISIN: DE000A1EMG56 / WKN: A1EMG5 _wige MEDIA AG to partner Alibaba Sports Group Cologne, 24 Febru

Source URL: investor.wige.de

• E-commerce
• Economy
• Business
• Alibaba Group
• WIGE

NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org

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• Economy
• Finance
• Money
• United States securities law
• 76th United States Congress
• Investment Advisers Act
• Registered Investment Adviser
• U.S. Securities and Exchange Commission
• Financial adviser
• North American Securities Administrators Association
• Brian Hamburger