21 Nov 2025
US regulators tightens oversight on structured products amid complexity concerns
The regulator plans to probe the reasoning behind product selection,...
07 Oct 2025
FCA sets out plan to remove Consumer Duty burdens, targets complex ETPs
The regulator’s priorities for the remainder of 2025 to 2026, include...
02 Jul 2025
MAS revamps product information documents, targets complex products
Singapore's financial regulator aims to highlight the key product...
18 Jun 2025
Germany: half of investors don’t understand structured investment products
The regulator has flagged inconsistent cost disclosures, potentially...
28 May 2025
France: product governance key to sustainable market
The discussion on the key drivers of growth for structured products in...
16 Oct 2024
US regulator fines broker-dealer for mis-selling structured notes
Stifel ordered to pay US$14.2m in Finra arbitration over failure to...
26 Sep 2024
SRP Americas 2024: 'complex products' definition still pending
The late afternoon session of the Mayer Brown masterclass at SRP...
21 Jun 2023
US SEC ramps up conduct expectations for broker-dealers
In April 2023, the US Securities and Exchange Commission (SEC)...
21 Jun 2023
US SEC ramps up conduct expectations for broker-dealers
In April 2023, the US Securities and Exchange Commission (SEC)...
14 Feb 2023
Mayer Brown: regulatory focus, a reflection of the market growth
As the US retail structured products market continues to grow...
04 Oct 2022
SRP Americas 2022: lack of ESG regulation will impact indexing
Rick Redding, CEO of the Index Industry Association (IIA), shared the...
29 Sep 2022
US congress questions Finra’s ‘complex product’ regulation
The regulator must provide evidence that current regulations are...