From my perspective, I think what is absolutely critical is there has to be a clear ability on the part of government and the public trading in our securities markets to know all relevant information about those markets on a real time basis.

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Encourage instead the issuance of securities that automatically adjust capital structure when financial distress becomes relevant, such as cocobonds with a market trigger.

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And third, every securitization was certified by a Trustee who claimed to have all relevant documents, including the wet ink notes, related to the mortgages that backed up the securities.

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Unregulated by the US Securities and Exchange Commission (SEC), the UK Financial Conduct Authority (FCA) or other relevant regulators, hedge funds are not subject to the limitations and restrictions imposed on their public fund brethren, such as retail mutual funds in the United States or authorised unit trusts in the United Kingdom.

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Rapley entered the securities industry in 1995 and was registered with FINRA member firm Andrew Garrett, Inc. during the times relevant to this matter.

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