( Industry Insights

Regulation

Updates and commentary on evolving market regulation.

Korean banks eye resumption of ELS sales under new measure, timing remains unclear

10 September 2025

Korean banks eye resumption of ELS sales under new measure, timing remains unclear

The rollout of the regulatory update regarding banks' sales of ELS may be delayed from September towards the year-end.

Indian regulator tightens rules on intraday position limits in index options

04 Sep 2025

Indian regulator tightens rules on intraday position limits in index options

In a move to bolster market integrity and risk management in the equity derivatives segment, the Securities and Exchange Board of India (SEBI) has introduced a comprehensive framework for intraday position limits monitoring for index options.

Marex completes registration for US structured notes as WKSI

04 Aug 2025

Marex completes registration for US structured notes as WKSI

The non-bank provider of structured products has become a well-known seasoned issuer (WKSI) of structured notes on shelf in the US.

Esma Ucits reform heightens due diligence on ‘complex’ structured products

29 Jul 2025

Esma Ucits reform heightens due diligence on ‘complex’ structured products

Asset managers will be required to undertake strict due diligence to verify and document the underlying securities used in Ucits funds, especially when using complex structured products and derivatives

US regulation: uncertain tax policies, potential tariff impacts and evolving bank rules

22 Jul 2025

US regulation: uncertain tax policies, potential tariff impacts and evolving bank rules

The latest industry webinar on the US structured investment product landscape provided critical insights into market trends, regulatory priorities and future expectations.

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17 Jul 2025

Update: Swiss association introduces label for trackers on non-tradable assets

Issuers must prominently label tracker certificates linked to...

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14 Jul 2025

Korean regulator bolsters investor protection amid ELS mis-selling scandal

The increased investor assessment and the change in product...

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11 Jul 2025

SEC provides further clarity on crypto ETPs

The latest guidance covers a range of disclosures included in...

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10 Jul 2025

Eusipa wants structured products under SIA, Finance Europe umbrella

The European association believes structured products can encourage...

UKSPA aims at performance-based value for money testing

07 Jul 2025

UKSPA aims at performance-based value for money testing

Following the recent Brexit reset trade agreement between the UK government and the EU, SRP caught up with the UK Structured products Association (UKSPA) to discuss the main items and initiatives driving the association’s agenda for the remainder of 2025.

MAS revamps product information documents, targets complex products

02 Jul 2025

MAS revamps product information documents, targets complex products

Singapore's financial regulator aims to highlight the key product features on the first page of the proposed product highlight sheets.

FSMA focuses on value for money

01 Jul 2025

FSMA focuses on value for money

Value for money of financial products was one of the major themes of the regulator’s annual report for 2024, which was published on 20 June.

Malaysia regulator tightens rules on product governance

30 Jun 2025

Malaysia regulator tightens rules on product governance

The new guidelines are aimed at addressing issues with product governance guidelines to promote responsible innovation and strengthen investor protection.