( Industry Insights

Regulation

Updates and commentary on evolving market regulation.

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04 Jun 2026

VectorGlobal WMG sells accounts to Insigneo amid liquidation related to US sanctions

The Miami-based broker, once active in offshore structured notes, has...

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26 May 2026

German investors ignore ‘unreadable’ KIDs

Most German investors do not consult the mandatory KID when purchasing...

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26 May 2026

SRP’s sentiment survey returns for the second year

SRP has launched the 2026 edition of its sentiment survey, which...

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20 May 2026

Finra fines New Jersey broker for supervisory failure over Rila

The broker recommended more than 100 registered index-linked annuity...

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19 May 2026

Finra launches review of worst-of structured notes

The US watchdog is conducting a review related to firms’ supervision...

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18 May 2026

Singapore regulator to erase mandatory advice requirement for complex products

Investment-linked policies are newly added complex products under the...