31 July 2026
Finra enforcement review highlights governance priorities on complex products
Recommendations reinforce focus on supervision, disclosure and risk-based controls as complex product distribution evolves.
In Brief
See all in briefs)-
ESAs move to simplify uncleared derivatives margin framework
-
Finra penalises UBS Financial for repeated monitoring failures
-
Taiwanese regulator approves first set of banks for IRB capital rules
-
Korean regulator reinforces deposit framework for single-stock leveraged products
-
FTSE's Paris unit receives Esma benchmark authorisation
-
Esma authorises EuroCTP as tape provider for equities, ETFs
-
US annuity industry body backs regulatory overhaul
-
SEC rejigs enforcement leadership
-
Iosco selects Investor resilience, digital deception, scam alert themes for 10th World Investor Week
-
Ctrl Alt secures Mifid authorisation from the Irish central bank
Most Read in Regulation Insights
Regulation
Regulation
Regulation
Regulation
17 Jul 2026
Korean regulators hit the brakes on single stock leverage ETNs
Regulatory authorities are freezing new single stock leveraged product...
14 Jul 2026
Taiwan regulator turns spotlight on next generation of outcome-oriented products
The latest reforms highlight growing regulatory scrutiny around...
03 Jul 2026
Finma flags risks around use of structured products in discretionary portfolios
The Swiss regulator is pointing at recurring supervisory failures...
01 Jul 2026
SEC seeks industry feedback on next generation ETF framework
The consultation comes amid a wave of increasingly sophisticated ETF...
30 Jun 2026
French regulators flag governance and disclosure gaps
A joint review found wide variations in structured product fees and...
18 Jun 2026
Swiss regulator clears Leonteq after compliance overhaul
Completion of Finma-mandated measures marks the end of a multi-year...